Search for: "United States v. New York"
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11 Jan 2013, 9:04 am
(Photo credit: Wikipedia)United States District Court for the Southern District of New York Judge Laura Taylor Swain this week in John Wiley & Sons, Inc. v. [read post]
6 Oct 2022, 9:00 am
In one of several related class-action lawsuits against the maker of a drink marketed under the brand name Joint Juice, Chief Judge Richard Seeborg of the United States District Court, Northern District of California, applied case law from 103 years ago to reduce statutory damages in a consumer class action from the $91.4 million seemingly required by a New York statute to just $8.3 million plus pre-judgment interest of $4.5 million. [read post]
3 Apr 2023, 4:20 am
Allstate Insurance Company, Defendants (Memorandum and Order, United States District Court for the Eastern District of New York) Goldman Sachs gets $3M FINRA fine for 60 million short sale errors (Financial Planning by Victoria Zhuang) Latest SEC budget request emphasizes an enforcement agenda (Financial Planning by Dan Shaw) Industry Group Calls on Finra to Drop Series 7 Sponsorship Requirement (Financial IQ by Sam Del Rowe) ... [read post]
23 Jun 2023, 12:34 pm
In Smith v. [read post]
29 Jun 2015, 5:24 am
Was justice truly blind or did she take a peek from under her blindfold and sort of reach out for what looks more like a payoff than a settlement.Case in PointOn May 1, 2014, the United States Attorney for the Southern District of New York filed a three-count criminal Complaint alleging commodities-, wire- and mail-fraud against Alex V. [read post]
17 Apr 2019, 9:18 am
Prior to opening statements in United States v. [read post]
19 May 2014, 8:00 am
United States, 2014 WL 1509015 (CTA11 Apr. 18, 2014). [read post]
23 Feb 2024, 1:21 pm
In United States v. [read post]
22 Dec 2017, 8:44 am
Anvil Partners, Inc., (United States District Court for the Southern District of New York; 17-Misc-318) finding registered investment advisor Anvil Partners and its majority owner, president, and chief investment officer, Jeremy Beck, in civil contempt of court for failing to comply with the court's prior order enforcing a June 6, 2017, SEC investigative subpoena directed to Anvil. [read post]
2 Jan 2018, 3:13 am
Khaled "Kal" Bassily (United States District Court for the Southern District of New York, 16-CV-2733 / Apr. 12, 2016), the SEC alleged that Khaled Bassily, former head of ConvergEx Group's transition management business, defraudd charities, religious organizations, and retirement funds by charging them substantially higher amounts than disclosed for the execution of trading orders.Without admitting or denying the SEC's… [read post]
12 Jun 2020, 6:15 am
Lin and Marie Patino)New York Stock Exchange LLC, et al., Petitioners, v. [read post]
9 Sep 2016, 4:00 am
The criminal complaint (full text) in United States v. [read post]
21 Aug 2022, 12:45 pm
Jackson National Life Insurance Company; Jackson National Life Distributors LLC; Jackson National Life Insurance Company of New York, Defendants/Appellees (Opinion, United States Court of Appeals for the Tenth Circuit ("10Cir"), No. 21-1126 / August 23, 2022)https://brokeandbroker.com/PDF/Ford10CirOp220823.pdfAs set forth in the 10Cir's Syllabus:La’Tonya Ford is an African-American woman who worked at Jackson National Life Insurance… [read post]
6 Mar 2017, 7:10 am
New York Times reports on the Supreme Couirt's action. [read post]
27 Jun 2013, 1:47 am
Commodity Futures Trading Commission (CFTC) today filed an enforcement action in the United States District Court for the Southern District of New York against MF Global Inc. [read post]
16 May 2016, 5:33 am
On May 19, 2016, the Securities and Exchange Commission (“SEC”) filed an insider trading civil Complaint in the United States District Court for the Southern District of New York (“SDNY”). [read post]
19 May 2014, 8:00 am
United States, 2014 WL 1509015 (CTA11 Apr. 18, 2014). [read post]
27 Nov 2017, 4:28 am
,(United States District Court for the Southern District of New York, 16-cv-2779) the Town and the Ramapo Local Development Corp. (“RLDC”) are enjoined from further violations of the ’34 Act and subject to the following undertakings as set forth in the SEC Press Release:(a) requiring the Town and RLDC to retain an independent consultant (IC) with municipal finance experience appointed by the Court to review and recommend improvements to the… [read post]
9 Aug 2013, 4:00 am
Some two dozen amicus briefs in support of the Town of Greece, New York's prayer policy have been filed with the U.S. [read post]
3 Apr 2023, 4:20 am
Allstate Insurance Company, Defendants (Memorandum and Order, United States District Court for the Eastern District of New York) Goldman Sachs gets $3M FINRA fine for 60 million short sale errors (Financial Planning by Victoria Zhuang) Latest SEC budget request emphasizes an enforcement agenda (Financial Planning by Dan Shaw) ... [read post]
