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3 Oct 2016, 1:54 pm
The bill also prohibits a TNC from contracting with a driver who is currently registered on the DOJ’s National Sex Offender Public Website; has been convicted of specified felonies within the past seven years; and/or has been convicted, within the past seven years, of misdemeanor assault or battery, domestic violence, or driving under the influence of drugs or alcohol. [read post]
5 Aug 2016, 7:46 am
Despite the red flags raised by the unidentified agent’s sales activity, The Investment Center, Inc. [read post]
1 Aug 2016, 9:42 pm
In addition to its successful prosecution of Brain, Cook and Cook’s law firm on these charges, the DOL also had sought, but failed to convince the District Court based on the evidence presented at trial to find Brain, Cook, Cook’s law firm and Brain’s fellow trust fund trustee Local 600 business agent and Joint Board of Trustees member Jaime Briceno guilty of wrongful retaliation against another alleged whistleblower or Briceno of breaching his fiduciary duties under ERISA… [read post]
16 Jun 2016, 2:48 pm
Cybersecurity at SEC-registered entities like Morgan Stanley has become a top priority for the SEC inspections group and enforcement division. [read post]
15 Jun 2016, 8:08 am
When undertaken in accordance with the guidance in Citizen VC, such activities, they assert, will be deemed not to involve “general solicitation or general advertising” within the meaning of Rule 502(c).[5] Others have a less expansive view about the general applicability of the Citizen VC and Companion C&DIs’ guidance to conventional issuers and companies other than registered broker-dealers or similar third-party financial intermediaries. [read post]
10 Jun 2016, 9:37 am
You can register by clicking this LINK. [read post]
3 Jun 2016, 6:13 am
Paleteria La Michoacana, Inc. v. [read post]
23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New Hampshire in 2012. [read post]
3 May 2016, 9:00 pm
Inc. [read post]
1 May 2016, 1:49 pm
Relief For Unfair Competition Under California Common Law Appropriation of Name and Likeness in Violation of California Civil Code §3344 Relief For Negligence RIME asks for judgement against defendants: That Plaintiff is awarded all damages, including future damages, that Plaintiff has sustained, or will sustain, as a result of the acts complained of herein, subject to proof at trial That Plaintiff is awarded his costs, attorneys’ fees and expenses in this action That Plaintiff is awarded… [read post]
25 Apr 2016, 4:21 pm
Access to LinkedIn can significantly enhance a registered sex offender’s chances of obtaining a job. [read post]
12 Apr 2016, 3:50 pm
Employer and other employee benefit plan sponsors, benefit plan committees and fiduciaries, and the broker-dealers, financial advisors, insurance agents and other plan service providers that provide investment-related platforms, advice, recommendations or other services for employee benefit plans need to reevaluate the fiduciary status of their service providers and begin restructuring as necessary their associated relationships, service provider commission or other compensation, service… [read post]
12 Apr 2016, 3:50 pm
Employer and other employee benefit plan sponsors, benefit plan committees and fiduciaries, and the broker-dealers, financial advisors, insurance agents and other plan service providers that provide investment-related platforms, advice, recommendations or other services for employee benefit plans need to reevaluate the fiduciary status of their service providers and begin restructuring as necessary their associated relationships, service provider commission or other compensation, service… [read post]
23 Mar 2016, 2:38 pm
Pursuant to LMRDA Section 203(a), employers must also file the Form LM-10 to report certain payments to unions and individuals affiliated with unions, including any officer, employee, shop steward, or agent of a labor organization. [read post]
23 Mar 2016, 2:38 pm
Pursuant to LMRDA Section 203(a), employers must also file the Form LM-10 to report certain payments to unions and individuals affiliated with unions, including any officer, employee, shop steward, or agent of a labor organization. [read post]
9 Mar 2016, 9:01 am
Applicants can enroll through a Web site, by phone, by mail, in person, or directly with a broker or an agent of a health insurance company. [read post]
2 Mar 2016, 4:26 pm
For years, cryptologists and national security experts have been warning against weakening encryption. [read post]
29 Feb 2016, 10:23 am
Grom (“Grom), a Deutsche Bank Securities, Inc. [read post]
19 Feb 2016, 11:57 am
Corporation with no in-state assets, employees, or registered agent, cannot be at home.In re Roman Catholic Diocese of Albany, New York, Inc., 745 F.3d 30 (2d Cir. [read post]
11 Feb 2016, 1:30 pm
The designs at stake are all registered with the Copyright Office, as tattoo artworks. [read post]
