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5 Aug 2016, 7:27 am
Brokerage firms are required to supervise their advisors to ensure that they are complying with FINRA rules. [read post]
20 May 2008, 10:05 am
Phillips Service Industries, Inc. [read post]
10 Jul 2015, 6:37 am
We blogged last year regarding a decision of the New York Appellate Division, Fourth Department in Brown & Brown, Inc. v. [read post]
13 Mar 2008, 3:10 pm
He also allegedly failed to comply and honor the victim's demand that he account for her investments and give her the money back. [read post]
6 May 2009, 1:09 pm
In the recent case of Franco v Athens Disposal Company, Inc., a California appeals court has held that a trial court erred when it held that a class-action waiver in a company’s arbitration agreement was enforceable. [read post]
6 Jul 2010, 5:00 pm
For example, the Sixth Circuit sua sponte remanded Galicks, Inc. v. [read post]
25 Jul 2009, 7:57 am
The employer will modify its anti-discrimination policies, distribute the new policy to all employees and managerial staff, and post a notice confirming its commitment to comply with the ADA. [read post]
31 Jan 2013, 5:30 am
Gaudio, P.C. formed The Inventors Network, Inc. [read post]
20 Feb 2014, 9:39 am
See Pfizer, Inc. v. [read post]
10 Jun 2014, 7:30 am
Bell was aware of the requirements of the market access rule and should have known that the firm's risk management controls and supervisory procedures related to market access did not comply with the market access rule. [read post]
14 Nov 2012, 8:31 am
Beneficial Maine Inc., held that the bank’s refusal to foreclose was not a violation of the bankruptcy discharge order, and does not interfere with the debtor’s right to a fresh start. [read post]
28 Apr 2014, 4:23 pm
HHS found that QCA had failed to comply with multiple requirements of HIPAA including failing to implement required safeguards in accordance with the Security Rule. [read post]
5 Oct 2016, 4:35 am
Harrison Poultry, Inc., a poultry hatchery located in Bethlehem, Ga., will pay $100,000 and furnish other relief to settle a disability discrimination lawsuit. [read post]
5 Aug 2019, 11:30 pm
Reed Elsevier, Inc. v. [read post]
21 Mar 2023, 8:30 am
Hopefully, these companies losing their Registered Importer status will send a message to others that they have to comply with all federal safety regulations to do business. [read post]
28 Jun 2022, 2:52 pm
In Telegram Messenger LLP and Telegram Messenger Inc. v. [read post]
23 May 2019, 6:52 am
The North American Securities Administrators Association, Inc. [read post]
24 Sep 2014, 7:39 am
As a result, there was “at least a good arguable case” that Google was required to comply with the DPA when processing the Claimant’s personal data. [read post]
3 Jan 2023, 4:00 pm
City of Boca Raton, 524 U.S. 775 (1998) and Burlington Industries, Inc. v. [read post]
19 Jun 2016, 9:01 pm
Proc. 2016-29 further extends this waiver to any tax year beginning before January 1, 2016, effectively providing a one year extension to comply with the TPR.It is important to note that Late Partial Dispositions (DCN #196) are not affected by the 5-year rule waiver since this automatic accounting method change is not allowed for tax years beginning on or after January 1, 2015.Craig Miller is president of Duffy + Duffy, Cost Segregation Services, Inc. [read post]
