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9 Sep 2019, 5:00 am by Janene Marasciullo
 Form CRS also requires the BD to state that it has “a legal or disciplinary history” if either the BD or any of its RRs has made disclosures concerning criminal proceedings, regulatory proceedings, judicial proceedings, or unsatisfied judgments on their Forms BD, U-4 or U-5, or if an RR has reported a customer complaint or a specified termination on a Form U-4 or Form U-5. [read post]
9 Sep 2019, 5:00 am by Janene Marasciullo
 Form CRS also requires the BD to state that it has “a legal or disciplinary history” if either the BD or any of its RRs has made disclosures concerning criminal proceedings, regulatory proceedings, judicial proceedings, or unsatisfied judgments on their Forms BD, U-4 or U-5, or if an RR has reported a customer complaint or a specified termination on a Form U-4 or Form U-5. [read post]
27 Aug 2019, 4:45 am by Andrew Lavoott Bluestone
It is inescapable that NMM and Roberts were aware that Southbridge’ s ownership interest in the co-op shares was potentially fatally flawed and that Plaintiff may have retained an ownership interest. [read post]
16 Aug 2019, 4:48 am by Andrew Lavoott Bluestone
  Illustrated by Matter of Benson  2019 NY Slip Op 51331(U)   Decided on August 12, 2019 Surrogate’s Court, Albany County Pettit, J. only certain individuals may sue an attorney for legal malpractice. [read post]