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12 Nov 2016, 10:32 am
The SEC did refer to Raymond James throughout the complaint as the firm that received wire transfers beginning in 2008 from a bank in Vermont to brokerage accounts controlled by Mr. [read post]
4 Apr 2007, 2:38 am
Irwin Union Bank & Trust, Co., 215 F.R.D. 26, 32-33 (D.Mass.2003); Williams v. [read post]
27 Jun 2016, 6:53 am
Rule 15c3-3(e) requires a broker-dealer to maintain a reserve of funds or qualified securities in an account at a bank that is at least equal in value to the net cash owed to customers. [read post]
18 May 2007, 11:59 am
The Washington Post's Harold Meyerson ("Enron's Enablers", May 9) correctly identifies the litigation against Enron's investment banks as a place where money was stolen from shareholders, but blames the wrong party. [read post]
2 Nov 2011, 5:33 am
WSJ Too close for comfort: Iran Economy Minister Shamseddin Hosseini (barely) survived an impeachment vote in parliament yesterday in connection with a $2.6 billion banking-fraud case, the largest in the country’s history. [read post]
7 Jun 2012, 7:03 am
Seated in front of a bank of American flags, each shares a part of the following: “As a soldier in Iraq, I put my life on the line to protect and defend my country. [read post]
6 Oct 2010, 9:02 am
US District Judge William Zloch set December 17 for sentencing while the defense attorney for the Cohens, Michael Pasano said he would request a re-trial. [read post]
12 Feb 2009, 11:50 am
William Rehm, R-Albuquerque. [read post]
19 May 2011, 7:32 am
William Chen, chief of Neurology at Memorial Hospital, examined Mrs. [read post]
23 Mar 2012, 9:00 am
Indeed, the banks underwriting the gigantic Facebook I.P.O. bar their employees from using the social networking site. [read post]
17 Jun 2010, 10:49 pm
According to Securities Fraud Lawyer William Shepherd, “Virtually all advisory professionals have a fiduciary duty to their clients, and brokerage firms claim to be professionals. [read post]
7 Jun 2009, 1:45 pm
LGF, in a brief account of the genesis of the sovereign identity movement, reveals a possible answer: [The] "sovereign citizen" concept originated in the Posse Comitatus movement as a teaching of Christian Identity minister William P. [read post]
11 Jul 2012, 3:01 am
Need to Know: One of the biggest moves in the in-house counsel world this week is Freddie Mac naming William H. [read post]
25 Mar 2010, 2:18 pm
Magee was arrested after an extensive investigation by police, according to Police Chief William Wilson. [read post]
5 Oct 2007, 7:32 am
In pursuit of this thankless task, Bank Lawyer's Blog, employing an electron proctoscope, was parsing the nuances of Mr. [read post]
12 Sep 2012, 5:00 am
According to British Foreign Secretary William Hague, European Union states are working on new sanctions against Iran. [read post]
5 Apr 2011, 12:00 am
William Emmons, research economist at the Federal Reserve Bank of St. [read post]
5 Jan 2011, 7:00 am
District Judge Williams D. [read post]
4 Dec 2018, 11:50 am
This lawsuit was brought by employees of the University of Pittsburgh Medical Center over a data breach that leaked the employees’ names, birth dates, social security numbers, and bank account information. [read post]
11 Jan 2008, 9:47 am
William L. [read post]
