Search for: "Million v State"
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10 Jan 2020, 1:41 am
(Opinion, United States Supreme Court)FINRA Imposes $1 Million Fine On Prudential Investment Management Services For Retirement Plans' Supervisory Issues. [read post]
2 Nov 2018, 6:30 am
Ga.)In a Complaint filed in the United States District Court for the Northern District of Georgia, the SEC alleged that former investment advisor Charles A. [read post]
27 Jun 2013, 1:47 am
READ the FULL-TEXT CFTC v. [read post]
1 Aug 2022, 4:04 am
Georgie Court of Appeals Reverses Leggett v. [read post]
13 Aug 2022, 8:55 am
Claimant Wins $57 Million in FINRA Arbitration Award and Once More Around The Loop with Bill Singer (BrokeAndBroker.com Blog)Federal Court Finds SEC Approval of FINRA Reporting Requirements "Arbitrary and Capricious" -- Cites Cost of FINRA Build-OutBloomberg L.P., Petitioner, v. [read post]
5 Feb 2021, 10:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5687/securities-industry-commentator/SEC Suspends Trading in Inactive Issuer Touted on Social Media (SEC Release)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Amazon seller blasts the company's forced arbitration policy in congressional hearing on antitrust (CNBC by Lauren Feiner and Annie Palmer)SEC… [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]
14 Feb 2014, 4:25 am
Kahle and Huber v. [read post]
8 Aug 2022, 4:02 am
., Plaintiff/Appellant, v. [read post]
4 Dec 2020, 6:16 am
. $1.2 million in losses later, the check arrives and the finger-pointing begins.A Tangled Mess of LitigationIn NYLIFE Securities, LLC, Plaintiff, v. [read post]
5 Aug 2024, 5:15 am
On Thursday, the United States Court of Appeals for the Eleventh Circuit published an opinion in Compulife Software, Inc., v. [read post]
5 Aug 2024, 5:15 am
On Thursday, the United States Court of Appeals for the Eleventh Circuit published an opinion in Compulife Software, Inc., v. [read post]
30 Sep 2024, 9:15 am
Court of Appeals for the Second Circuit issued a ruling in Abbott Laboratories v. [read post]
30 Sep 2024, 9:15 am
Court of Appeals for the Second Circuit issued a ruling in Abbott Laboratories v. [read post]
19 Mar 2013, 8:36 pm
Riley Today, in its first significant class action ruling of 2013, Standard Fire Insurance Co. v. [read post]
10 Nov 2009, 2:57 pm
The D.C. case, Horn v. [read post]
27 Apr 2013, 5:02 pm
It would be unfeasible for Facebook to review over 1 billion profiles and millions of uploaded posts to determine if a particular individual has posted content on line. [read post]
6 Aug 2009, 11:06 pm
See Valassis Communications, Inc. v. [read post]
10 Nov 2015, 7:47 am
In the recent case of Dant v. [read post]
30 Jan 2013, 7:03 am
In United States v. [read post]
