Search for: "The Kaplan Law Firm"
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19 Jun 2019, 9:40 am
The Kaplan Law Firm’s Matthew B. [read post]
11 Jun 2019, 4:14 am
Moreover, emails submitted by defendants show that the law firm did advocate for plaintiffs’ employer to include language on the U-5 Forms indicating that any allegations against plaintiffs were unsubstantiated, and plaintiffs’ employer refused, calling such language a “non-starter. [read post]
24 May 2019, 6:01 am
Securities and Exchange Commission, on Thursday, May 23, 2019 Tags: Accounting, Audits, Internal control, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities enforcement, Securities regulation, Small firms, SOX Section 404 [read post]
3 May 2019, 4:28 am
The analogy Keith Kaplan made to me was a good one. [read post]
29 Apr 2019, 7:48 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
19 Apr 2019, 6:12 am
Rouhandeh, and Michael Kaplan, Davis Polk & Wardwell LLP, on Saturday, April 13, 2019 Tags: Bonds, Corporate fraud, DOJ, International governance, Misconduct, Rule 144, SEC, SEC enforcement, Securities litigation, Securities regulation, Volkswagen 2019 Proposed Amendments to DGCL Posted by John Mark Zeberkiewicz and Brigitte Fresco, Richards, Layton & Finger, P.A., on Saturday, April 13, 2019 Tags: Appraisal… [read post]
15 Apr 2019, 8:31 am
Advisor Daniel Davila (Davila), formerly employed by Purshe Kaplan Sterling Investments (Purshe Kaplan) and currently employed by advisory firm Austin Walth Management, LLC (Austin Wealth) has been subject to at least two customer complaints. [read post]
15 Apr 2019, 3:54 am
The Law Firm and its Partners In the late 1970s, D’Amato and Lynch Sr. founded the Firm. [read post]
16 Mar 2019, 6:04 pm
Compcoin was able to get an investor by the name of Marland Kaplan to invest $2,500 in exchange for 3,050 of its digital coins (Jennifer Bennett, Bloomberg Law).In his complaint, Kaplan alleged he was supposed to be able to trade on online cryptocurrency platforms. [read post]
5 Mar 2019, 10:03 am
SSEK Law Firm has helped thousands of investors in recouping their investor fraud losses. [read post]
5 Mar 2019, 9:56 am
SSEK Law Firm has helped thousands of investors in recouping their investor fraud losses. [read post]
20 Dec 2018, 1:00 pm
Circuit also addressed Jesner in Kaplan v. [read post]
30 Nov 2018, 6:06 am
Hamermesh (Widener University), on Thursday, November 29, 2018 Tags: Attorneys’ fees, Charter & bylaws, Contracts, Delaware articles, Delaware law, DGCL, DGCL Section 102, Fee-Shifting, Forum selection, Incorporations, Rule 10b-5, SEC, Securities litigation, Securities regulation, Shareholder suits, State law [read post]
9 Nov 2018, 7:00 am
by Jeff Kaplan in Conflict of Interest Blog In a paper recently published by Boston University School of Law – The Law Office (LO) and Compliance Officer (CO): Status, Function, Liabilities, and Relationship – Emerita Professor Tamar Frankel of that school quotes a former SEC official (John Walsh, then Chief Counsel, Office of Compliance Inspections and Examinations) as noting the following: [C]ompliance officers have the characteristics of… [read post]
31 Oct 2018, 5:57 am
Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Derrick Clouser’s alleged outside business activities. [read post]
21 Sep 2018, 7:48 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
14 Sep 2018, 8:05 am
The law firm is investigating alternative investments sold by Purshe Kaplan Sterling Investments Inc. [read post]
12 Sep 2018, 8:46 am
In several of these cases The Kaplan Law firm is representing its clients in conjunction with skilled cocounsel. [read post]
12 Sep 2018, 8:46 am
In several of these cases The Kaplan Law firm is representing its clients in conjunction with skilled cocounsel. [read post]
30 Aug 2018, 6:25 am
Kaplan—and one Democrat, Lauren McFerran. [read post]
