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16 Feb 2017, 2:52 pm
Timothy O'Connor (metaphysics, philosophy of action and mind, philosophy of religion), perhaps best-known as a leading contemporary defender of a libertarian account of free will, has accepted appointment as Distinguished Professor of Philosophy at Baylor University, to begin this fall.... [read post]
20 Jan 2017, 12:00 am
Learn About Whistleblower Protection, Anonymity & AwardsAn Attorney for Whistleblowers Securities Whistleblower Incentives and Protection (15 USC 78u-6) The Federal Securities Whistleblower Incentives and Protection Statute is contained in 15 USC § 78u-6. [read post]
17 Jan 2017, 3:22 pm
Daniel O’Connor, Ph.D., an assistant professor of neuroscience at the Johns Hopkins University School of Medicine, is among 102 winners of Presidential Early Career Awards for Scientists and Engineers, which were announced by the White House Jan. 9. [read post]
5 Jan 2017, 12:00 am
In our mobile society, millions of Americans have lost track of former pension accounts over the past half century. [read post]
30 Nov 2016, 12:00 am
The past decade has seen an explosion in the number of family offices set up by families seeking to coordinate and organize family wealth and assets, as well as issues involving the intergenerational transfer of family legacies. [read post]
18 Nov 2016, 8:16 am
ICYMI: Jacqueline O'Connor, Professor of English, Boise State University, has published Law and Sexuality in Tennessee Williams's America (Fairleigh Dickinson University Press, dist. by Rowman & Littlefield, 2016) (Law, Culture, and the Humanities Series). [read post]
4 Nov 2016, 12:00 am
In a Decision dated November 3, 2016, in the case of Taylor v. [read post]
18 Oct 2016, 12:00 am
In a decision dated October 14, 2016, in the case of Collins v. [read post]
3 Oct 2016, 12:00 am
Claims of FINRA-member firms against their former Registered Representatives now comprise approximately 40% of all claims filed with the FINRA Office of Dispute Resolution. [read post]
27 Sep 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) announced on June 8, 2016 that it fined Oppenheimer & Co., Inc. $2.25 million and ordered the firm to pay restitution of more than $716,000 to customers who were sold leveraged, inverse and inverse-leveraged exchange-traded funds. [read post]
20 Sep 2016, 12:00 am
The SEC announced in a press release dated June 8, 2016 that Morgan Stanley Smith Barney, LLC has agreed to pay a $1 million penalty to settle charges relating to alleged failures to protect confidential customer information. [read post]
13 Sep 2016, 12:00 am
In a recent investor alert, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors of the problems associated with non-traded Real Estate Investment Trusts (REIT’s). [read post]
6 Sep 2016, 12:00 am
A number of civil recovery provisions under Federal and State Law, as well as the rules and procedures of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission afford workers significant rights and the potential for substantial monetary awards. [read post]
30 Aug 2016, 12:00 am
In an investor alert and bulletin dated July 18, 2016, the United States Securities and Exchange Commission Office of Investor Education and Advocacy noted the following red flags to help senior investors identify possible fraudulent schemes which have been targeting seniors. [read post]
25 Aug 2016, 12:19 pm
O’Connor-Spinner v. [read post]
25 Aug 2016, 12:19 pm
O’Connor-Spinner v. [read post]
24 Aug 2016, 8:17 am
Sean M. [read post]
23 Aug 2016, 12:00 am
The SEC has announced in its Investing Basics series, the U.S. [read post]
Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme
15 Aug 2016, 12:00 am
In a Press Release dated Tuesday, July 19, 2016, the Financial Industry Regulatory Authority (FINRA) announced a finding against Prudential Annuities Distributors, Inc. for failing to detect forged variable annuity withdrawal requests from a Prudential Annuities variable annuity customer. [read post]
11 Aug 2016, 12:00 am
The SEC and Financial Industry Regulatory Authority (FINRA) announced an assessment of a $5,000,000 fine against Merrill Lynch for misleading information relating to its strategic return notes. [read post]
