Search for: "Stanley A. August"
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23 May 2024, 6:30 am
Nauta’s lawyer, Stanley Woodward Jr., told Judge Cannon that during his first meeting with the government in August 2022, a prosecutor, Jay I. [read post]
13 Feb 2024, 6:30 am
Then, in August of 1954, three months after the Supreme Court issued its explosive decision in Brown v. [read post]
30 Jan 2024, 9:02 pm
I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), our so-called gag rule.[1] This de facto rule follows from the Commission’s enforcement of its policy, adopted in 1972, that it will not “permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings. [read post]
29 Jan 2024, 6:19 pm
Supreme Court review, Stanley v. [read post]
29 Jan 2024, 12:00 pm
Failure to Supervise: Account Churning August 12, 2020 – Morgan Stanley hit with $950,000 for Failure to Supervise Morgan Stanley has been sanctioned by FINRA for alleged failures in supervising one of its brokers who engaged in account churning. [read post]
15 Jan 2024, 4:00 am
What we do know strongly suggests that King was not a communist but that one of his closest associates and advisers, Stanley Levison, might well have been. [read post]
12 Jan 2024, 11:58 am
While this alleged conduct resulted in substantial profits for Morgan Stanley and Passi, the SEC contends that it violated federal securities laws.According to the SEC’s complaints, between June 2018 to August 2021, Passi and a subordinate on Morgan Stanley’s equity syndicate desk allegedly disclosed non-public information regarding impending block trades to select buy-side investors. [read post]
12 Jan 2024, 8:56 am
According to the SEC’s orders, from at least June 2018 through August 2021, Passi and a subordinate on Morgan Stanley’s equity syndicate desk disclosed non-public, potentially market-moving information concerning impending block trades to select buy-side investors despite the sellers’ confidentiality requests and Morgan Stanley’s own policies regarding the treatment of confidential information. [read post]
3 Dec 2023, 4:21 am
Steinberg, Stanley A. [read post]
2 Nov 2023, 6:55 am
On August 9, 2023, Filoramo’s attorney responded to FINRA, acknowledging receipt of both requests for information. [read post]
25 Oct 2023, 8:05 am
The post FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2023 appeared first on Securities Arbitration Lawyers Blog. [read post]
5 Oct 2023, 9:01 pm
An increase in infections was noted in summer, with most people falling ill from June to August. [read post]
3 Oct 2023, 1:56 pm
As of August 6, 1787, the Committee of Detail's draft concerning the Senate read as follows (2 Farrand at 177, 179): Sect. 1. [read post]
29 Sep 2023, 4:00 am
Cash, Gold Bars, Arms Sales: How Bob Menendez met legal peril, again MSN – Isaac Stanley-Becker (Washington Post) | Published: 9/23/2023 U.S. [read post]
30 Aug 2023, 10:13 am
On August 21, 2023, a retired artist and teacher of the visually impaired represented by Lax & Neville LLP won a FINRA award against Morgan Stanley for its years-long recommendation that she invest her savings in WisdomTree (WETF), a sponsor of exchange traded funds (“ETFs”) and asset manager. [read post]
24 Aug 2023, 4:00 am
Tim Knight Associate Librarian, Head of Technical Services Osgoode Hall Law School, York University On August 6, 2016, five young Indigenous people drove onto the Stanley family farm in a car with a flat tire. [read post]
21 Aug 2023, 7:21 am
” “This August, the Ontario Trial Lawyers Association (OTLA) called for an immediate investigation after an adjudicator, who had received an offer of employment from Aviva, went on to render at least nine decisions for the LAT before starting work with the insurer. [read post]
16 Aug 2023, 11:47 am
He was among the first attorneys certified as appellate specialists in 1996 and retired from practice in 2023.And see the August 2023 issue of CLA Lit. [read post]
15 Aug 2023, 10:45 am
David Alan Sklansky is the Stanley Morrison Professor of Law and Faculty Co-Director of the Stanford Criminal Justice Center. [read post]
7 Aug 2023, 11:16 am
The Growing Concerns of AI Recently, on August 3rd, 2023, The Massachusetts Secretary of the Commonwealth sent several detailed letters to firms including JPMorgan and Morgan Stanley to learn how they are using AI with investors. [read post]
