Search for: "Professional Acceptance LLC"
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31 May 2024, 11:49 am
Merrill Lynch allegedly failed to establish and maintain a supervisory system reasonably designed to ensure that trainees did not place unsolicited telemarketing calls to individuals on the national do-not-call registry and the firm’s do-not-call list, according to FINRA’s findings in a Letter of Acceptance Waiver and Consent. [read post]
30 May 2024, 7:28 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
24 May 2024, 7:03 am
For example, the merged firm would not be allowed to require that a client accept Live Nation as a promoter in order to access Ticketmaster’s primary ticketing services, or vice versa. [read post]
23 May 2024, 1:59 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
16 May 2024, 5:00 am
The lawsuit filed by POC USA, LLC (“POC”) against Expeditors International of Washington, Inc. [read post]
15 May 2024, 1:32 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
10 May 2024, 2:06 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
9 May 2024, 2:00 pm
The attorney was to write a demand letter, accept the payment in their bank account, and receive 5% of the proceeds. [read post]
7 May 2024, 7:35 am
Consequently, the Acceptance, Waiver, and Consent (AWC) agreements include censure for each firm, along with orders for restitution and estimated interest totaling $485,441, without imposing fines. [read post]
6 May 2024, 11:52 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
6 May 2024, 3:32 am
Under New York law, a testifying expert can rely on hearsay as a basis for his opinion only where (1) the out-of-court material is of a kind accepted in the profession as reliable as a basis in forming a professional opinion, and (2) there is evidence presented establishing the reliability of the out-of-court material referred to by the witness (Hambsch v New York City Tr. [read post]
3 May 2024, 8:38 am
“Minor has admitted he “gravely messed up and fully accept[s] that this is [his] fault. [read post]
2 May 2024, 12:35 pm
This action violated NASD Rule 2510(b), which prohibits registered representatives from exercising discretion in customer accounts without written authorization accepted by the member firm. [read post]
1 May 2024, 10:16 pm
The White Law Group reviews the regulatory history of LPL Financial LLC. [read post]
30 Apr 2024, 6:08 am
Pecker was not reassured, and he nearly met the same fate, if his company failed to accept the non-prosecution agreement. [read post]
29 Apr 2024, 1:40 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
22 Apr 2024, 4:28 am
“In order to succeed on a claim for accounting malpractice, a plaintiff must demonstrate a departure from accepted standards of practice and that the departure was a proximate cause of injury” (Alskom Realty, LLC v Baranik, 189 AD3d 745, 747; see Kristina Denise Enters., Inc. v Arnold, 41 AD3d 788, 788). [read post]
19 Apr 2024, 1:46 am
Still, it’s important to consult with a legal or financial professional to determine if your specific business situation qualifies for an exemption. [read post]
10 Apr 2024, 6:51 am
Schwartzberg, LLC, 2024 NY Slip Op 01247 (March 7, 2024), the plaintiff hired the defendant firm to complete a Workers’ Compensation matter. [read post]
25 Mar 2024, 8:07 am
In Global Patent Solutions, LLC, B-421602.2 (Feb. 23, 2024), GAO looked at a solicitation from the Patent and Trademark Office (PTO or USPTO) for professional services to assist the PTO in reviewing international patent applications. [read post]