Search for: "Matter of Galvin"
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17 Jan 2024, 3:36 am
The retainer agreement limited Tully Rinckey’s representation to preparing a bankruptcy petition and related schedules and did not include any service for appeals, postjudgment work or matters other than the bankruptcy proceeding. [read post]
30 Jun 2023, 4:00 am
National/Federal How Judges Navigate Offers of Free Lunch, Trips and NBA Tickets Bloomberg Law – Zoe Tillman (Bloomberg News) | Published: 6/25/2023 Recent controversies over perks accepted by Supreme Court Justices Clarence Thomas and Samuel Alito have raised questions not only about the justices’ conduct off the bench and what they disclose to the public, but also about how the judiciary broadly enforces ethics. [read post]
4 May 2023, 7:46 am
To resolve the matter, Stifel was ordered to pay a fine of $100,000, reimburse one customer $133,907.84, and offer other harmed customers remuneration.Failure to Supervise – Stifel Nicolaus & Company All broker-dealers have a responsibility to adequately supervise its employees. [read post]
1 Apr 2022, 5:47 pm
Galvin was given thirty days to appeal. [read post]
28 Mar 2022, 7:30 am
Both plaintiff and the City moved for judgment as a matter of law or, alternatively, a new trial. [read post]
28 Mar 2022, 7:30 am
Both plaintiff and the City moved for judgment as a matter of law or, alternatively, a new trial. [read post]
25 Mar 2022, 12:16 pm
Galvin, Secretary of the Commonwealth (Decision/Order)SEC Division of Examinations Announces 2022 Examination Priorities / Enhances Focus on Private Funds, ESG, and Operational ResiliencySEC Holds Fidelity Transfer Services In Default and Orders Cease-and-Desist (No -- not "that" Fidelity but apparently another Fidelity)In the Matter of Fidelity ... [read post]
30 Jul 2021, 4:00 am
The notes could be turned over to Congress in a matter of days if Trump does not file papers in court seeking to block such a handover. [read post]
23 Apr 2021, 4:00 am
Is Creating Harsher Penalties for Protesters Yahoo News – Reid Epstein and Patricia Mazzei (New York Times) | Published: 4/21/2021 There is a wave of new anti-protest legislation, sponsored and supported by Republicans, in the 11 months since Black Lives Matter protests swept the country following the death of George Floyd. [read post]
29 Jan 2021, 8:04 am
"That has to be addressed immediately," Galvin said.Robinhood suit. [read post]
21 Jan 2021, 8:30 pm
National/Federal As Trump’s Presidency Recedes into History, Scholars Seek to Understand His Reign – and What It Says About American Democracy MSN – David Nakamura (Washington Post) | Published: 1/18/2021 President Trump’s four years in office ended after a reign defined by constant chaos, corruption, and scandal, a tenure that numerous scholars predict is destined to rank him among America’s worst presidents. [read post]
6 Nov 2020, 7:08 am
SPECIAL THANKS We appreciate the assistance of Alan Keating, Turlough Galvin and Kevin Smith from Matheson with the following discussion on Irish law, regulation and practice. [read post]
3 Aug 2020, 2:00 am
Within a matter of months, there were more than 20 million Americans seeking unemployment benefits. [read post]
10 Jul 2020, 3:00 am
National/Federal Convention Jitters Grip Democrats Politico – Holly Otterbein | Published: 7/7/2020 First came the announcement of a downsized convention in Milwaukee that delegates were urged not to attend in person. [read post]
7 Feb 2020, 3:00 am
National/Federal Bolton Book Details Trump Efforts to Deploy Giuliani in Ukraine Courthouse News Service – Tim Ryan, Jack Rodgers, and Adam Klasfeld | Published: 1/31/2020 In his unreleased book, former national security adviser John Bolton says President Trump asked him to help arrange a meeting between Rudy Giuliani and the president of Ukraine at the time Trump sought to have Ukraine announce investigations into former Vice President Joe Biden and his son. [read post]
17 Jan 2020, 3:00 am
National/Federal Court Debates Using Shell Companies to Mask Political Donations Bloomberg Law – Kenneth Doyle | Published: 1/10/2020 A federal appeals court panel heard arguments over the use of shell companies to hide donations in a case that could affect super PAC disclosure in the 2020 election. [read post]
3 Jan 2020, 3:00 am
National/Federal 2020 Democrats Are Naming Their Fundraising ‘Bundlers’ Amid a Fight Over Big Money in Politics Philadelphia Inquirer – Jonathan Lai and Julia Terruso | Published: 12/26/2019 When it comes to political fundraising, rich people are great. [read post]
28 Jul 2019, 3:30 pm
” Of particular relevance to this novel, Shelley was also well aware of experiments over previous decades by Galvin and others using electricity to stimulate muscle twitches in dead animals. [read post]
12 Jul 2019, 2:00 am
The Division’s proposal appears to be a clear reaction to Secretary of the Commonwealth William Galvin’s disappointment with the new Regulation Best Interest (Regulation BI) from the U.S. [read post]
2 Jul 2019, 1:09 pm
While unregistered, the LPL brokers engaged in the following in Massachusetts: Provided securities advice Solicited securities transactions Supervised agents Engaged in securities transactions Galvin’s office is also accusing LPL Financial of not reporting in a timely manner almost 800 reportable events, including multiple regulatory actions, over 100 customer complaints, 12 criminal complaints, and other matters. [read post]
