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7 Oct 2018, 9:01 pm by News Desk
Failure to promptly correct violations can result in legal action without further notice, including, without limitation, seizure and injunction. [read post]
6 Oct 2018, 10:08 am by Staff Attorney
  According to records kept by The Financial Industry Regulatory Authority (FINRA) Michna has been accused by a customer of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
5 Oct 2018, 2:42 am
” The Board further noted that “[t]he fact that there is limited evidence of the use of the combined term ‘ice blind’ does not defeat the Section 2(e)(1) refusal,” nor does it render the term “ice blind” incongruous or distinctive. [read post]
1 Oct 2018, 6:35 am by Staff Attorney
Former Sandlapper Securities, LLC (Sandlapper) and Independent Financial Group, LLC (Independent Financial) broker Kyusun “Kenny” Kim (Kim) has been subject to at least 23 customer complaints and one regulatory action. [read post]
28 Sep 2018, 8:37 am by Cannabis Law Group
Infused products are produced for recreational users or medical marijuana patients who may prefer edible forms of marijuana, and safety of these products is paramount. [read post]
27 Sep 2018, 5:02 pm by Andrée Blais
In June 2018, CFIUS determined that the agreement was not a “covered transaction” under Section 721 of the Defense Production Act of 1950,[4] and as such the parties were cleared to execute the agreement. [read post]
26 Sep 2018, 1:39 pm by Rebecca Tushnet
Golden Gate National Senior Care LLC, --- A.3d ----, 2018 WL 4570102, No. 16 MAP 2017 (Pa. [read post]
24 Sep 2018, 11:41 pm by Mark Summerfield
  In the past year or so there have been four appeals filed with the Federal Court of Australia against Patent Office decisions refusing applications for computer-implemented inventions: Todd Martin v The Commissioner of Patents, QUD374/2017; Rokt Pte Limited v The Commissioner of Patents, NSD1292/2017; Repipe Pty Ltd v The Commissioner of Patents, WAD323/2018; and Aristocrat Technologies Australia Pty Ltd v The Commissioner of Patents, NSD1343/2018. [read post]
24 Sep 2018, 6:22 am by Staff Attorney
  These products have become so popular among brokers without providing any benefit to investors that many states now limit investors from investing more than 10% of their liquid assets in Non-Traded REITs. [read post]
23 Sep 2018, 4:07 pm by INFORRM
The Report is the product of a bid for transparency and accountability in the intelligence sharing practices across 42 jurisidctions although, perhaps to be expected, the information disclosed to Privacy International is limited. [read post]
21 Sep 2018, 9:21 am by Jacklyn Fetbroyt
Jacklyn Fetbroyt is a founding member of Philadelphia law firm Kang Haggerty & Fetbroyt LLC and is currently the co-chair of the NAMWOLF Financial Services Litigation Practice Area Committee. [read post]
21 Sep 2018, 5:57 am by Green, Schafle & Gibbs
We strongly encourage any investor who suspects their broker and/or broker-dealer of having lost them money on dubious terms to at least skim this report to see if you recognize any names, schemes, products, or securities. [read post]