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4 Dec 2020, 1:55 pm
According to FINRA Disciplinary actions for November 2020, 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 John Evans Wells Fargo Clearing Services, LLC Foreside Fund Services, LLC Brendan Feitelberg United Planners’ Financial Services of… [read post]
23 Mar 2020, 2:04 pm
Sansi North America, LLC v. [read post]
24 Jan 2024, 4:29 pm
With all that context, here is our listing of the Top-10 SEC and CFTC recoveries for 2023. 1 — Mirror Trading (CFTC). [read post]
7 Jan 2022, 2:20 pm
TIAA-CREF Individual & Institutional Services LLC (TC Services) – TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), paid the SEC and New York Attorney General a combined $97 million to settle charges that it misled thousands of investors and failed to disclose conflicts of interest in connection with TIAA employer-sponsored retirement plans for over five years. [read post]
7 Jan 2022, 2:20 pm
TIAA-CREF Individual & Institutional Services LLC (TC Services) – TIAA-CREF Individual & Institutional Services LLC (TC Services), a subsidiary of Teachers Insurance and Annuity Association of America (TIAA), paid the SEC and New York Attorney General a combined $97 million to settle charges that it misled thousands of investors and failed to disclose conflicts of interest in connection with TIAA employer-sponsored retirement plans for over five years. [read post]
6 Jan 2022, 1:18 pm
According to news reports on January 3, non-traded REIT CIM Real Estate Finance Trust announced that it had reached an agreement to sell all of its shopping centers to American Finance Trust Inc. for $ 1.3 billion. [read post]
17 May 2017, 9:57 pm
How do you like them … In 2015, a dispute concerning the rights to a Chilean trade mark for PINK LADY apples came before the Victorian Supreme Court in the matter of Apple & Pear Australia Ltd v Pink Lady America LLC [2015] VSC 617. [read post]
17 May 2017, 9:57 pm
How do you like them … In 2015, a dispute concerning the rights to a Chilean trade mark for PINK LADY apples came before the Victorian Supreme Court in the matter of Apple & Pear Australia Ltd v Pink Lady America LLC [2015] VSC 617. [read post]
Can Deals That Do Not Trigger an HSR Filing Raise Antitrust Concerns? Yes, Buyer and Sellers Beware!
8 Nov 2019, 1:25 pm
Twin America, LLC, Civil Action No. 12-cv-8989 (ALC) (GWG) (March 16, 2015)). [read post]
9 Nov 2018, 9:01 am
I can also conceive of a court saying that of the four, only box 1 is infringing or alternatively that 1, 2, and 3 are all infringing.. [read post]
26 Apr 2023, 10:48 am
I Dig Texas, LLC v. [read post]
16 Aug 2010, 2:42 am
Copyright © 2010 Simple Justice NY LLC. [read post]
22 Jun 2023, 7:35 am
Triad Advisors LLC Infinex Investments Inc. [read post]
6 Nov 2009, 12:09 am
Expanding Insider Trading Probe Nets Lawyers
New York Law Journal
Two lawyers were among several people arrested Thursday in a rapidly expanding hedge fund insider trading scandal. [read post]
31 Aug 2014, 4:58 am
Copyright © 2013 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
4 Jan 2022, 10:09 pm
Electronic Payment Solutions of America, Inc., No. 17-02535 (D. [read post]
27 Aug 2014, 5:21 pm
All are experienced attorneys. [read post]
13 Jun 2011, 7:56 am
The case can be cited as News America Marketing In-Store, LLC v. [read post]
3 May 2011, 11:02 am
The Ninth Circuit in United States of America v. [read post]
26 Aug 2019, 9:22 am
Nat’l Geographic Partners, LLC, 2019 WL 3935180, No. 18-cv-3127-WJM-SKC (D. [read post]
