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19 Mar 2021, 6:08 am
Yust (Texas A&M University), on Thursday, March 18, 2021 Tags: Accounting, Corporate fraud, Misconduct, Oversight, SEC enforcement, Securities enforcement, Securities fraud Speech by Acting Chair Lee on the Importance of Fund Voting and Disclosure Posted by Allison Herren Lee, U.S. [read post]
19 Mar 2021, 3:15 am by Andrew Lavoott Bluestone
“After plaintiff was terminated by her former employer (hereinafter Century 21) from her position as a real estate agent in 2004, she allegedly used her access to Century 21’s voicemail to steal business, among other things. [read post]
18 Mar 2021, 3:13 pm by John L. Culhane, Jr.
 The CFPB’s complaint, which was filed in a California federal district court, also names FNZA Marketing, LLC (FNZ) as a relief defendant. [read post]
18 Mar 2021, 10:34 am by Renae Lloyd
When a FINRA registered representative conducts business outside the scope of the brokerage firm where they are registered, the act can be considered “selling away. [read post]
18 Mar 2021, 10:28 am by Richard Hunt
Here there is a very clear message for any landlord or other business confronted by a hypothetical request for ASL interpretation. [read post]
18 Mar 2021, 8:09 am by John Jascob
Sal Arnuk of Themis Trading LLC, which acts as a trading agent for large money managers, testified first by saying that the most damaging elements of the meme-stock craze have resulted from: (1) extremely poor investor education; and (2) an “undeniable” conflict of interest presented by the practice of payment for order flow. [read post]
18 Mar 2021, 6:31 am
Posted by Mike Kesner, Joshua Bright, and Linda Pappas, Pay Governance LLC, on Thursday, March 18, 2021 Editor's Note: Mike Kesner is partner, and Joshua Bright and Linda Pappas are principals at Pay Governance LLC. [read post]
16 Mar 2021, 5:15 pm
To succeed on such a claim, the plaintiff must show that the defendant committed: “‘(1) an unfair or deceptive act or practice, or an unfair method of competition; (2) in or affecting commerce; (3) which proximately caused actual injury to the plaintiff or to his business. [read post]
15 Mar 2021, 2:00 am by Matrix Legal Support Service
The appeal will consider, in a claim for discrimination contrary to the Equality Act 2010, which party bears the burden of proving that discrimination has or has not occurred. [read post]
13 Mar 2021, 7:32 pm by Chris Manes
For intangible property other than business interests (that is, stock, LLC memberships, partnerships, etc.), the formula involves “use” of the intangible property in California. [read post]
12 Mar 2021, 5:39 am by Renae Lloyd
“Selling Away” When a FINRA registered representative conducts business outside the scope of the brokerage firm where they are registered, the act can be considered “selling away. [read post]
12 Mar 2021, 5:39 am by Renae Lloyd
“Selling Away” When a FINRA registered representative conducts business outside the scope of the brokerage firm where they are registered, the act can be considered “selling away. [read post]
10 Mar 2021, 6:34 am by Steven Koprince
The companies named their joint venture Patriot Commercial Construction, LLC. [read post]
10 Mar 2021, 3:26 am by Chukwuma Okoli
If that is so, as is indeed it is, how much less can parties by their private acts remove the jurisdiction properly and legally vested in our Courts ? [read post]