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3 Mar 2008, 8:23 am
Venkatesan's post motivated me enough to read James Laine's book on Shivaji over the weekend. [read post]
25 Aug 2012, 3:44 pm by sandylaw
The James case is still in pre-trial status, so whether James can ultimately establish that he did rely on his accountant has not yet been determined. [read post]
22 Jul 2019, 9:09 am by ccollins
In 2017, the regulator filed charges against ex-Nomura traders Kee Chan and James Im, accusing them of misrepresenting CMBS price information to firm customers. [read post]
15 May 2012, 9:12 am by Steve Hall
  Earlier coverage of the Astorga case begins at the link. [read post]
12 Apr 2013, 12:21 pm by Rob McKinney
James Holmes offered to plead guilty to all these murders and accept a sentence of life without parole. [read post]
18 Oct 2013, 3:17 am
In the Matter of James Arnold Busch, Respondent (AWC 2013038441201, October 11, 2013).Busch was first registered in 198... [read post]
24 Jul 2013, 12:02 pm by Sheldon Toplitt
(Case No. 155629/2013), Justice James ruled the plaintiff had demonstrated a potential cause of action against the creator of the sites fredrickschulmancrookedattorney.com and stopfredrickschulman.blogspot.com and was entitled to pre-action discovery identifying the blogger under CPLR sec. 3012(c).Schulman alleges he has suffered harm to his reputation and pecuniary loss because of the "malicious" online campaign against him. [read post]
5 May 2017, 8:55 am
In an intriguing FINRA Arbitration Decision, the sole arbitrator hearing the case recommended the expungement of a customer complaint from a registered representative's CRD record. [read post]
26 Jan 2021, 10:50 am by Thomas Baer
Alfini, and James Sample is now available at Jenkins. [read post]
10 Jan 2013, 4:49 am
Raymond James Wrongful Discharge Case Is A Minefield For StockbrokerIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011, Claimant Pavlovich alleged that on February 2, 2011, he was wrongfully terminated by Respondent Raymond James  and the firm falsely reported the reason for his termination on his Uniform Termination Notice For Securities Industry Registration (“Form U5”) — such… [read post]