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17 Feb 2010, 7:29 pm
Copyright 2010 by the American Bar Association/The Bureau of National Affairs, Inc. (800-372-1033) Speakers Debate Nonlawyers' Role in Firms At First Ethics 20/20 Commission Hearingby Joan C. [read post]
17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
16 Feb 2010, 10:10 am
Home Builders League of South Jersey, Inc. v. [read post]
5 Feb 2010, 1:17 am
Marriott Hotel Services Inc. [read post]
3 Feb 2010, 6:37 pm
Spheris Inc., a provider of clinical documentation technology and services to hospitals and health systems, voluntarily filed for chapter 11 protection today in Wilmington, Delaware with plans to utilize bankruptcy protection to effectuate a sale of substantially all of its assets to MedQuist Transcriptions Ltd. - its largest competitor - and MedQuist's majority owner, CBay Inc. [read post]
2 Feb 2010, 12:54 am
The Good, the Bad and Potentially UGLY of UCITS III Hedge Funds Location: London February 10-12 Sponsor: Infocast, Inc. [read post]
1 Feb 2010, 6:36 am
The five units will be as follows: The Asset Management Unit to focus on investment advisers, investment companies, hedge funds and private equity funds; The Market Abuse Unit to focus on large-scale market abuses and complex manipulation schemes by institutional traders, market professionals and others; The Structured and New Products Unit to focus on complex derivatives and financial products, such as credit default swaps, collateralized debt obligations and other securitized products;… [read post]
26 Jan 2010, 7:40 am
- and of GMAC Financial Services, which was once a car-finance and mortgage firm and is now a bank holding company. [read post]
26 Jan 2010, 3:57 am
Wyeth, Inc. v. [read post]
25 Jan 2010, 5:00 am
July 26, 1989); In re Technical Equities Federal Securities Litigation, 1988 WL 147607, at *7 (N.D. [read post]
23 Jan 2010, 11:12 am
Editor's Note: Charles Nathan is Of Counsel at Latham & Watkins and is Global Co-Chair of the firm's Mergers and Acquisitions Group. [read post]
22 Jan 2010, 11:15 am
A TRUPS buyback can free an organization from its debt service obligation or reduce it — an important opportunity if we are entering an inflationary environment. [read post]
22 Jan 2010, 6:00 am
One award went to a 95-year-old investor who accused StockCross Financial Services Inc. and two of its brokers of misconduct and self-dealing. [read post]
20 Jan 2010, 11:32 am
A FINRA panel awarded the investor $1.6 million in a case involving StockCross Financial Services, Inc. of Beverly Hills, as well as two brokers, Thomas Cooper and Peter Boorn. [read post]
20 Jan 2010, 4:32 am
Inc., 914 F.Supp. 1434 (E.D.Tex.,1996). [read post]
17 Jan 2010, 9:29 pm
’s $60 million securities fraud claims against Barclays Capital Inc. and Barclays Bank PLC. [read post]
13 Jan 2010, 6:30 am
Countrywide Home Loans, Inc. [read post]
7 Jan 2010, 6:30 am
Cooper Indus., Inc. v. [read post]
5 Jan 2010, 11:56 am
In another case, a FINRA arbitration panel ordered StockCross Financial Services, Inc. and two brokers to pay approximately $319,000 in compensatory damages, about $959,000 in damages for elder abuse, as well as about $234,000 in attorney's fees plus additional sums for costs, in a case where an elderly investor alleged that the brokers recommended unsuitable and overly risky investments for him, including recommending that he leverage the equity in his… [read post]
