Search for: "Paul Trading LLC"
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26 Dec 2016, 4:30 am
2016 - it's been another frantic copyright year - and buzz words and themes for the twelve months included 'the value gap' between the content industries and the technology giants, linking, that 'new public', fair use, 'transformative' art, and the ongoing reform of copyright laws - in Europe, and in particular reforms to the Digital Millennium Copyright Act in the USA. [read post]
23 Dec 2016, 1:00 am
Eisenberg, K&L Gates LLP, on Monday, December 19, 2016 Tags: Accounting, Asset management, Broker-dealers, Conflicts of interest, Disclosure, Dodd-Frank Act, FCPA, Fiduciary duties, Hedge funds, Insider trading, Investment advisers, Private equity, SEC, SEC enforcement, Securities enforcement A New Administration: Change and Continuity in Securities Regulation Posted by William McLucas & Harry Weiss, Wilmer Cutler Pickering Hale and Dorr LLP, on Monday, December 19, 2016 Tags:… [read post]
25 Nov 2016, 1:01 am
Securities and Exchange Commission, on Saturday, November 19, 2016 Tags: Accountability, Algorithmic trading, Corporate crime, Disclosure, Financial regulation, Financial reporting, Insider trading, Investor protection, Market conditions, Misconduct, Private equity, SEC, SEC enforcement, SEC investigations, Securities enforcement, Securities litigation, Securities regulation, Whistleblowers Lower Performance for Target Pay? [read post]
21 Nov 2016, 7:07 am
Whittaker’s Director of Sales was Paul Offutt, who worked under a contract that included a non-compete provision. [read post]
11 Nov 2016, 4:07 am
Here is the Paul Weiss attorneys’ guest post. [read post]
26 Oct 2016, 7:51 am
Lebel was a broker and former representative of registered broker-dealer and investment advisor, LPL Financial LLC (“LPL”). [read post]
5 Sep 2016, 6:30 am
In its most recent annual securities class action litigation report, Cornerstone Research noted that the approximately four percent of publicly traded companies were hit with a securities class action lawsuit in 2015. [read post]
31 Aug 2016, 3:05 am
Square Mile Energy LLC v. [read post]
6 Jul 2016, 9:46 am
NTE LLC v. [read post]
3 Jul 2016, 4:00 am
Mutual, 2016 BCSC 1169 https://t.co/op82mUMEIX -> Brexit vote result bolsters case for CETA, trade lawyers say: ‘Quite optimistic about this’ https://t.co/5dQTPz3wyw -> Canadian experts unite for cultural policy advisory group https://t.co/fp3lI6MPSw -> Manufacturers urge North American leaders to pass Pacific deal this year https://t.co/wm2h2gGTFV -> CASL – How To Send E-mails To Canadians Safely https://t.co/ZUaAvX8DPY -> Supreme Court takes next patent… [read post]
26 Jun 2016, 4:00 am
Extensive analysis of remedies for breach of confidence XY, LLC v. [read post]
26 Jun 2016, 3:32 am
People will sacrifice their self-interest for reasons that makes the trade-off sufficiently worthwhile to them. [read post]
10 Jun 2016, 9:37 am
William Pastuszek, Principal, Shepherd Associates, LLC – Real Property Valuation and ConsultingThe principal of Shepherd Associates is William J. [read post]
24 May 2016, 9:31 am
Lyons, LLC (CRD #453, Louisville, Kentucky)Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to identify and apply sales-charge discounts to certain customers’ eligible purchases of UITs, which resulted in customers paying excessive sales charges of $328,491. [read post]
18 Apr 2016, 9:15 am
Ellis, Jr., who managed and jointly owned Paul-Ellis Investment Associates, LLC (PEIA), created materially false and fraudulent marketing material in order to induce Florida residents to attend the “Free Dinner” seminar. [read post]
25 Mar 2016, 6:00 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Friday, March 18, 2016 Tags: Class actions, Disclosure, Fraud-on-the-Market, Information asymmetries, Investor protection, Liability standards,Registration statements, Reliance, Securities Act, Securities litigation, Shareholder suits, U.S. federal courts Proposed Revisions to 13(d) Beneficial Ownership Reporting Rules Posted by Theodore N. [read post]
14 Mar 2016, 2:56 am
A paralegal working at the insured law firm, Cumberland & Erly, LLC (“C&E”), embezzled $157,268.75 through forging checks. [read post]
7 Mar 2016, 9:42 am
From October 2009 until November 2015 Blum was associated with RBC Capital Markets, LLC out of the firm’s West Palm Beach, Florida office locations. [read post]
5 Feb 2016, 6:22 am
Deckelbaum, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Friday, January 29, 2016 Tags: Acquisitions, Break fees, Canada, Cross-border transactions, Go-shop, Hostile takeover, International governance,Mergers & acquisitions, Public firms, Strategic buyers, Takeovers, Tender offer, UK Alternatives to Equity Shares in a Low Stock Price Environment Posted by Steve Pakela, Pay Governance LLC, on Saturday, January 30, 2016 Tags: Boards of Directors, Compensation… [read post]
3 Feb 2016, 7:27 am
The inadequate supervision resulted in the failure to deliver accurate trade confirmations.Dennis Paul Van Patter of Little Elm, Texas. [read post]
