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FINRA Bars Broker For Selling $10.8M of Notes in $1.2B Woodbridge Ponzi Scam
6 Dec 2018, 11:55 am by ccollins
The former broker was previously registered with: · Wunderlich Securities · Capital Securities of America · The Leaders Group · PFS Investments Dietrich is not registered with any brokerage firm at this time. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Fifth Circuit finds right to arbitration waived where adjudication on the merits had already been sought in court and had succeeded in part - Forby vs. One Technologies, L.P., No. 17-10883 (5th Cir. Nov. 28, 2018)
4 Dec 2018, 10:29 pm by MOTP
See IN RE VANTAGE DRILLING INTERNATIONAL, VANTAGE DEEPWATER DRILLING, INC., AND VANTAGE ENERGY SERVICES, INC. [read post]
ADR Law Texas - http://texas-arbitration-case-law.blogspot.com/
Weekly Roundup: November 23-29, 2018
30 Nov 2018, 6:06 am
Doyle, American Council for Capital Formation (ACCF), on Thursday, November 29, 2018 Tags: Asset management, Capital formation, Capital markets, Fund managers, Glass Lewis, Institutional Investors, Institutional voting, ISS, Ownership, Proxy advisors, Proxy voting, SEC, Securities regulation, Transparency The Shift from Active to Passive Investing: Potential Risks to Financial… [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Center Street Securities Broker and Lion’s Share Financial Are Accused of Defrauding Senior Retirees and Investors with Disabilities
16 Nov 2018, 4:00 am by ccollins
According to his BrokerCheck record, he previously worked with several other firms, including Capital Financial Services and Securities America, and he has worked in the industry for at least 17 years. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
FINRA Bars Ex-Texas Based Brokers from Merrill Lynch and RBC Capital Markets
14 Nov 2018, 2:54 pm by ccollins
His BrokerCheck record notes that he was previously a broker for Banc of America Investment Services, Inc. and Citigroup Global Markets (C). [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Brown Rudnick Trade Alert – Argentina
6 Nov 2018, 11:51 am by Samuel Cohen
THE LEGAL SYSTEM IN ARGENTINA Argentina is a federal union of 23 provinces (or provincias) and a federal capital district, the City of Buenos Aires. [read post]
Government Contracts Blog - http://brownrudnick.com/insights/government-contracts/
215 Trademark Registrations Issued to Indiana Companies in October 2018
5 Nov 2018, 10:10 am by Overhauser Law Offices, LLC
TSDR 5576100 SMARTGAIT TSDR 5576046 SCHLAGE SENSE TSDR 5592577 WAAH ORGANIC TSDR 5591997 NON-PERFORMING FUNDS TSDR [read post]
Indiana Intellectual Property Lawyer Blog - http://www.iniplaw.org/
Relist Watch
18 Oct 2018, 7:04 am by John Elwood
  New Relists Return Mail Inc. v. [read post]
SCOTUSblog - http://www.scotusblog.com/
Previewing the Supreme Court Cases Newly Scheduled for Oral Argument Beginning November 26
15 Oct 2018, 7:05 am by Deborah Heller
This week the Court released the calendar for arguments at the end of November and into December these cases are: Apple, Inc. v. [read post]
Pace Law Library Blog - http://library.blogs.law.pace.edu/
With Over $3.6 Trillion in Value You Should Pay Attention to GRESB
30 Sep 2018, 12:11 pm by Stuart Kaplow
Green Building Council, Inc. [read post]
Green Building Law Update - http://www.greenbuildinglawupdate.com/
Weekly Roundup: September 14-20, 2018
21 Sep 2018, 6:10 am
Sitkoff (Harvard Law School), on Thursday, September 20, 2018 Tags: DOL, Duty of loyalty, Endowments, ESG, Fiduciary duties, Impact investing, Pension funds, Prudence, Risk Expulsion of LLC Member Posted by Jason Halper, Nathan Bull, and James Fee Rahman, Cadwalader, Wickersham & Taft LLP, on Thursday, September 20, 2018 Tags: Contracts, Corporate forms, Delaware cases, Delaware law, LLCs, State… [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Investor Fraud: Barred Michigan Investment Adviser is Accused of Defrauding Retirees of $2.7M and SEC Halts Alleged $345M Ponzi Scam That Bilked Seniors, Retail Investors, and Small Business Owners
20 Sep 2018, 2:27 pm by ccollins
He previously worked with Comerica Securities, L M Kohn & Company, Leonard & Company, Natcity Investments, Inc., First of America Brokerage Service, Independence One Brokerage, and two other firms. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
TV Owners Need New Rules To Keep Pace
10 Sep 2018, 3:38 pm by Guest Author Adonis Hoffman, Esq.
Guest author Adonis Hoffman is Chairman of Business in the Public Interest, Inc. and co-founder of H Two Media LLC. [read post]
Media and Communications Policy - http://www.mediacompolicy.org/
Did the Word "May" Make the Arbitration Provision Mandatory? - Consumer crossed out mandatory arbitration clause before signing and Builder accepted the changes; but consumer gets forced into arbitration anyhow, with one Justice dissenting Southern Green Builders v. Cleveland (Tex. App. - Houston 2018)
1 Sep 2018, 9:28 am by MOTP
Davidson, Inc. [read post]
ADR Law Texas - http://texas-arbitration-case-law.blogspot.com/
Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models
29 Aug 2018, 8:32 am by SSEK Law
Collectively, the entities, AEGON USA Investment Management LLC (AUIM), its affiliated brokerage firm Transamerica Capital Inc., as well as its affiliated investment advisers Transamerica Financial Advisors Inc. and Transamerica Asset Management Inc., will pay $97M to retail investors that were impacted. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Transamerica Entities to Pay $97M to Investors Over Flawed Investment Models
27 Aug 2018, 5:00 pm by ccollins
Collectively, the entities, AEGON USA Investment Management LLC (AUIM), its affiliated brokerage firm Transamerica Capital Inc., as well as its affiliated investment advisers Transamerica Financial Advisors Inc. and Transamerica Asset Management Inc., will pay $97M to retail investors that were impacted. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Broker Ray Reese Subject Of Five Customer Dispute Disclosures
13 Aug 2018, 10:25 am by Silver Law Group
(CRD #18246) and Sherwood Capital, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Weekly Roundup: August 3-9, 2018
10 Aug 2018, 6:11 am
Posted by Sean Barry, Equilar, Inc., on Thursday, August 9, 2018 Tags: Board dynamics, Board oversight, Board performance, Boards of Directors, Director qualifications, Management, Overboarding, Tech companies Cash America and the Structure of Bondholder Remedies Posted by Marcel Kahan (NYU) and Mitu Gulati (Duke University), on Thursday, August 9, 2018 Tags: Bondholders, Bonds, Covenants, Debt… [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Cash America and the Structure of Bondholder Remedies
9 Aug 2018, 6:27 am
Cash America International Inc. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Securities Regulation Daily’s top 10 developments for July 2018
7 Aug 2018, 9:07 am by John Jascob
Americas (DBTCA), a depository bank, and Deutsch Bank Securities Inc. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/