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Stockbroker Fraud News Roundup: UBS Puerto Rico Settles SEC Action for $26M, Morgan Keegan’s Bid to Get $40K Award Over Marketing of RMK Advantage Income Fund Vacated is Denied, and SEC Settles with Attorney Involved in $1B Viaticals Scam
11 May 2012, 6:27 pm
Inc. v. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
A Narrow View of “Loss” under the CFAA
25 Apr 2012, 9:09 pm by Charles Bieneman
Chauffeured Service, Inc. v. [read post]
Software Intellectual Property Report - http://swipreport.com/
Wells Fargo accused of securities fraud in state lawsuit
28 Apr 2009, 11:04 am
"Several financial-service companies that issued auction-rate debt have agreed to repurchase billions of dollars of the devalued securities to settle claims by regulators that they defrauded investors.Last month, Wachovia Corp., which Wells Fargo acquired last year, agreed to repurchase $1.5 billion of the securities from California investors in a settlement with the state Department of Corporations that also included a division of Citigroup Inc.… [read post]
About Broker Fraud Blog - http://aboutbrokerfraud.typepad.com/about_broker_fraud_blog/
Almost 7,000 Broker-Dealers from FSC Securities, AIG Financial Advisors, and Royal Alliance Associates Will Be Part of AIG Advisor Group Sale, Says Source
2 Oct 2008, 10:56 pm
AIG Advisor Group is made up of FSC Securities Corp, AIG Financial Advisors Inc., and Royal Alliance Associates Inc. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
FINRA Fines 19 Firms a Total of $2.8 Million for Inaccurate Advertised Trade Volume Information
10 Jan 2008, 3:52 pm
Baird & Co., Inc., Thomas Weisel Partners, LLC, UBS, Bear, Stearns, BMO Capital, Cowen, Deutsche Bank, and RBC Capital Markets Corp.). [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Industry Standard Practices: What Your Business Can Do To Comply With The FTC’s Data Security Standard; Part II
8 Jul 2014, 5:15 am by The Law Firm of Grasing & Associates
Wyndham Worldwide Corp., et al., Defendants. [read post]
New York Business Lawyer Blog - http://www.newyorkbusinesslawyerblog.com/
In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules
25 Apr 2019, 11:59 am by Silver Law Group
According to FINRA Disciplinary actions for April 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 Corp   Boggs, Marcus   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Court sends battle over services for same-sex couples back to state court
25 Jun 2018, 7:51 am by Amy Howe
Henry Schein Inc. v. [read post]
SCOTUSblog - http://www.scotusblog.com/
New York company pays $5 million to settle service-disabled veteran fraud case
27 Apr 2016, 12:53 pm by Ben Vernia
New York-based Hayner Hoyt Corp. agreed to pay $5 million to settle a whistleblower’s allegations that the company defrauded the government by fraudulently obtaining contracts set aside for service-disabled veteran-owned businesses, the Department of Justice announced on March 14. [read post]
False Claims Counsel - http://www.falseclaimscounsel.com/wordpress
FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Failing To Comply with FINRA Arbitration Award Or Settlement Agreement
22 Oct 2019, 11:44 am by Silver Law Group
According to FINRA Disciplinary actions for August 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   Patrick Auckland   TIAA-VREF Individual & Institutional Services   Morgan Stanley   Matthew DiNinno   Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith   Nicholas Diesso   Ameriprise Financial… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Disciplinary Actions For November 2019 Name Registered Individuals Barred For Violations Of FINRA Rules
26 Nov 2019, 7:23 am by Silver Law Group
  Ameriprise Financial Services   NBC Securities, Inc   Pullin, Oivia   Ryan, Stephen   MML Investors Services, LLC   NYLife Securities LLC   Sears, Vernon Jr. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Registered Individuals Barred by FINRA in June 2018 for Failing to Comply with FINRA Rules
9 Jul 2018, 12:43 pm by Silver Law Group
According to FINRA Disciplinary actions for June 2018, the following individuals were barred 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   Donald Nelson Bower III   Edward Jones   Invest Financial Corp   Christopher Masharn Bruce   Statefarm VP Management Corp   Chris Bruce Insurance… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Access Group Inc loans taken out to pay for law school generally not subject to discharge in Bankruptcy § 523(a)(8)(A).
27 Mar 2018, 5:02 pm by Wolfgang Demino
New York.February 23, 2018.Natalie Jean-Baptiste, Plaintiff, pro se.NCO Financial Services Inc & Access Group Inc., Defendants, represented by Michael G. [read post]
Texas Debt Suit Defense 101 - http://debt-suit-litigation-in-texas.blogspot.com
Ethical Screen and Security News — Law Firm Security Breach Hits HIPAA, Lawyer Screening Stories
20 Sep 2022, 6:11 am by Dan Bressler
Woodford & Son, Inc., 2022 WL 4129410 (Super. [read post]
Bressler Risk Blog - http://www.bresslerriskblog.com
Ninth Circuit Reiterates that District Courts Must Analyze Allegations of Scienter "Holistically" In Determining Whether a Plaintiff Has Adequately Pleaded Securities Fraud Claims
8 Jan 2013, 11:08 am
VeriFone designs, markets and services transaction automation systems that enable secure electronic payments among consumers, merchants and financial institutions. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2020
4 Dec 2020, 1:55 pm by Silver Law Group
  May Kim   Pruco Securities, LLC   Jonathan Malone   Wells Fargo Clearing Services, LLC   Wells Fargo Advisors LLC   Evan Nadelman   Aegis Capital Corp   Ninety Holdings Group LLC   Gyasi Richard   Wells Fargo Clearing Services, LLC   Philip Scherello   Traderfield Securities Inc   Velocity Capital, LLC FINRA makes this information available, in part, to inform investors about… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2021
27 Dec 2021, 9:38 am by Silver Law Group
Morgan Securities LLC   Bobby Sullins   BB&T Securities, LLC   BB&T Investment Services, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Roundup of Frauds in South Florida
13 Jan 2015, 12:01 pm
The two companies were Professional Home Care Solutions Inc. and LTC Professional Consultants Inc. [read post]
Financial Counsel - http://financialcounselblog.com
Chairman of Nation's Largest Mortgage Company Indicted for Bank Fraud and TARP Fraud in Relation to Scheme Against Colonial Bank, SEC Charges Filed
17 Jun 2010, 5:27 am by Anthony Lake
Farkas, former Chairman of Taylor, Bean and Whitaker Mortgage Corp. [read post]
Federal Criminal Defense Blog - http://www.federalcriminaldefenseblog.com/
are fake reviews actionable if the review content is just puffing?
19 Jan 2022, 12:30 pm by Rebecca Tushnet
Marksman Security Corp. v. [read post]
43(B)log - http://tushnet.blogspot.com/