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19 Mar 2008, 7:53 pm
" So would the Bear Stearns-JP Morgan merger be subject to business judgment review? [read post]
23 May 2019, 7:36 am
Cole Financial, Inc Morgan Stanley Donato, Scott Morgan Stanley Flaningan, Joel NYLife Securities LLC Synergy Investment Services LLC Johnson, Anthony Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie Norris, Timothy BMO Harris Financial Advisors, Inc HarrisDirect LLC Tudor, Mark Raymond James Financial Services,… [read post]
27 Dec 2017, 7:37 am
Eglow was previously registered with SunTrust Investment Services, Wells Fargo Advisors, Morgan Keegan & Company, Morgan Stanley Smith Barney, Morgan Stanley & Company, FIA Capital Group, CCC Advisors, Inc. and Drexel Burnham Lambert Incorporated. [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors… [read post]
26 Sep 2008, 1:53 pm
The company first came to our attention when we spotted this employment agreement with JP Morgan executive Stephen J. [read post]
2 Feb 2010, 11:01 am
Morgan Stanley represented a company considering acquiring Olinkraft Corporation in a friendly merger. [read post]
25 Feb 2015, 10:02 pm
Besides Cereghino and three of his firm’s lawyers, Lucido and the class are being represented by John Yanchunis of Morgan & Morgan Complex Litigation Group in Tampa, FL, Karl Molineux and Charles Merrill of Merrill, Nomura & Molineux in Danville, CA, and Donna Solen of Kimbrell Kimbrell & Solen LLC in Washington, D.C. [read post]
11 Sep 2018, 6:30 am
Morgan, however, claimed Reading waived its right to arbitration when the company executed the contracts that contained a forum-selection clause. [read post]
21 Mar 2012, 10:01 am
Moreover, the record did not reflect that they knew that certain insiders were considering their own bid for the company's E&P assets. [read post]
27 Nov 2022, 8:04 am
Fish & Richardson (Steady) Finnegan Henderson (Down 50+, Spin-off firms, including Bookoff McAndrews & McNeill Baur) Wilson Sonsini (More than doubled, mostly new attorneys/agents) Knobbe Martens (Steady) Kilpatrick Townsend (Big growth from merger of firms) Foley & Lardner (Steady) Baker Botts (Steady) IBM (Steady) Perkins Coie (More than doubled) Morrison & Foerster (Steady) Cooley (More than doubled, mostly new attorneys/agents) Sterne Kessler (Some growth) Morgan Lewis… [read post]
7 Oct 2009, 1:12 pm
Morgan Stanley represented a company considering acquiring Olinkraft Corporation in a friendly merger. [read post]
28 Jan 2010, 9:09 am
The appeals panel, relying in part on an amicus brief filed by the SEC, held that the funds were not required to disclose on Form N-1A that they invested in companies which might have an investment banking relationship with fund affiliates. [read post]
29 May 2008, 6:22 am
A Morgan Lewis spokeswoman said the firm had no comment. [read post]
26 Nov 2019, 7:02 am
AXA Advisors LLC The Equitable Lie Assurance Society of the United States Su, Zachary JP Morgan Securities World Financial Group Uwechue, Anthony JP Morgan Securities Chase Investment Serivces Wright, Tiana Northwestern Mutual Investment Services Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
24 Sep 2013, 4:33 pm
Tintle participated in a private transaction that violated both FINRA regulations and the policy of his firm Morgan Keegan & Company. [read post]
1 Jul 2010, 8:46 am
These figures are courtesy of Morgan Drexen, Inc. [read post]
28 Feb 2010, 2:12 pm
John Anthony Marrone, a broker with Nexcore Capital, Inc. in San Diego, California, and Morgan Stanley & Co. in Santa Monica, California, was suspended from August 18, 2009 to December 10, 2009, for noncompliance with an award in an arbitration filed against him by Morgan Stanley. [read post]
18 Mar 2022, 8:01 am
Additionally, the bill makes clear that companies may still fire employees who come to work impaired by cannabis. [read post]
15 Jan 2015, 3:25 pm
Morgan Stanley, 2015 WL 136312 (2d Cir. [read post]
20 May 2020, 2:25 pm
Figueroa, Mark Spartan Capital Securities, LLC Arive Capital Markets Freeman, Michael Spartan Capital Securities Legend Securities, Inc Kopatz, Karen Raymond James & Associates, Inc Morgan Keegan & Company, Inc Morgan, Gregory Allstate Financial Services, LLC ProEquities, Inc Rayner, Wesley Santander Securities LLC JP Morgan Securities Rodriquez,… [read post]
