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16 Aug 2024, 7:17 am
Robert Silvestri (Robert Allen Silvestri CRD# 2037669) is a former registered broker and investment advisor last employed with Aegis Capital Corp. [read post]
23 Apr 2018, 1:20 am
In addition to increasing the burdens of securities litigation defense, bifurcation deprives defendants of the protections set out under the Private Securities Litigation Reform Act of 1995 (“Reform Act”). [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended 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 Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley, Jevon… [read post]
18 Jan 2011, 3:46 pm
Bennett on behalf of InSight Health Services Holdings Corp. [read post]
14 Oct 2009, 5:00 am
Belo Corp., 2009 WL 2450674 (5th Cir. [read post]
21 Apr 2009, 5:06 am
Corp. [read post]
29 Apr 2024, 11:07 am
The Permian and Guyana “are big growth drivers at both companies,” said Neal Dingmann, an analyst at Truist Securities. [read post]
12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland Garden State Securities,… [read post]
5 Nov 2007, 5:41 am
The e-mails also show that executives at eAppraiseIT knew their behavior was illegal, but intentionally broke the law to secure future business with WaMu. [read post]
22 Oct 2014, 5:05 am
Japan Airlines Corp. [read post]
I WAS EXPECTING AN EARTH-SHATTERING KABOOM: Iran and Syria are Getting Blown Up. And Sometimes Shot…
18 Mar 2012, 6:49 pm
Today’s explosion was in Aleppo, and also ‘near a government security building.’ The Iranian blasts are seemingly more dramatic, and probably part of the ongoing campaign being waged against the installations of the Revolutionary Guards Corps, especially, but not solely, those connected to the nuclear weapons project.” [read post]
20 Mar 2017, 2:39 pm
Among the equities at issue are Dendreon Corporation, El Dorado Gold, Endeavor Silver, Imagold Corp., Arch Coal, First Majestic Silver, the Nuveen Commodities Fund, and Conatus Pharmaceuticals. [read post]
3 Oct 2018, 9:27 am
According to reports, 1 Global Capital LLC, (“1st Global Capital”), the cash advance company, is a separate, unrelated company from 1st Global Capital Corp., the independent broker-dealer based in Dallas. [read post]
9 Apr 2019, 8:29 am
Symantec Corp., 838 F.3d 1307 (Fed. [read post]
27 Mar 2007, 4:41 pm
Examples of high-pressure tactics designed to sell insurance and annuities products to senior citizens and others have been released by the Massachusettes Securities Division in a call for additional regulations to curtail such practices. [read post]
31 Jan 2024, 3:00 am
She also is the author of the “Deep Quarry” newsletter, and an article in the newsletter on recent Corp Fin staff comments on impairment charges provides the basis for this podcast. [read post]
15 Feb 2024, 3:30 am
The Corp Fin director also observed that the Staff is seeing a lot of boilerplate in AI disclosures, particularly in the “Risk Factors” discussion. [read post]
21 Dec 2011, 2:19 pm
” The judge asked for more information from the SEC, saying he has concerns about issuing a vague order banning future securities violations. [read post]
30 Jun 2017, 3:00 am
” Companies registering securities for the first time under the Exchange Act will also have the ability to have their registration statements reviewed confidentially. [read post]
25 Nov 2010, 1:04 pm
Plaintiff ION Geophysical Corp. [read post]
