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26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 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 Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley, Jevon… [read post]
26 Nov 2019, 6:50 am
Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
25 Nov 2019, 5:21 pm
They hope to secure it by causing Roberts to worry about his reputation and that of his institution. [read post]
25 Nov 2019, 9:56 am
Many of the claims involving Flynn Wealth Management relate to investments in REITS such as Phillip Edison REIT, Business Development Corp of America (BDC), Hospitality Investors Trust, and others. [read post]
25 Nov 2019, 3:52 am
Vernon Petroleum Corp. v Singer Holding Corp., 103 AD3d 623 [2d Dept 2013]). [read post]
24 Nov 2019, 10:00 pm
Scottsdale Healthcare Corp. [read post]
23 Nov 2019, 4:16 am
Corp., 124 N.H. 820, 824 (1984). [read post]
22 Nov 2019, 9:36 pm
Greyhound Corp., [...] (9th Cir. 1977), this Court upheld a judgment holding that Greyhound violated Section 2 by refusing to interchange bus traffic with a competing bus line after voluntarily committing to do so in order to secure antitrust approval from the Interstate Commerce Commission for proposed acquisitions. [...[; see also, e.g., Biovail Corp. [read post]
22 Nov 2019, 3:03 am
And because simultaneous state & federal securities lawsuits can’t be consolidated, it’s extra messy. [read post]
20 Nov 2019, 6:21 am
This investment comes on the back of Active Navigation’s strong growth, adding some of the world’s best-known brands such as BAE Systems, the United States Marine Corps and Voya Financial to its customer portfolio. [read post]
19 Nov 2019, 2:53 pm
” Security First Corp. v. [read post]
18 Nov 2019, 11:17 am
The post James Anderson, Barred Broker Formerly With Ameritas Investment Corp., Subject Of 5 Disclosures appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Nov 2019, 7:45 am
To begin with, it seems now that Vindman never received an order not to testify by his chain of command but was, rather, instructed not to comply with the subpoena by the chief legal adviser for the National Security Council. [read post]
18 Nov 2019, 5:40 am
In an important decision released Friday, the Federal Court of Canada issued the first Canadian site blocking order against sites that predominantly facilitate copyright infringement. [read post]
18 Nov 2019, 3:09 am
Non-GAAP: How to Avoid Staff Scrutiny Last month, I blogged that this year’s “Top 10 List” for Corp Fin comments continues to include non-GAAP – no surprise there. [read post]
17 Nov 2019, 2:44 pm
That discussion identifies how facial recognition is being used to help physicians bank more securely, and to diagnose DiGeorge syndrome, a disease primarily afflicting people of color.[10] And, it describes how the prospect of Microsoft facial recognition tools being deployed by the Trump administration’s immigration authorities woke up not only executive consideration of the matter but employee activism. [read post]
17 Nov 2019, 6:55 am
Passenger Corp., 2019 WL 5087594 (N.D. [read post]
16 Nov 2019, 6:40 pm
Connectix Corp., 203 F.3d 596, 603 (9th Cir.) [read post]
16 Nov 2019, 8:40 am
Last December (11 months ago) I identified LAM Research Corp. [read post]
15 Nov 2019, 1:15 pm
OHCHR has attributed at least 19 of the 42 deaths to government security forces. [read post]
