Search for: "Security Financial Fund LLC"
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11 Mar 2014, 9:31 am
FMR LLC, the court, in a majority opinion written by Justice Ginsburg, concluded that extending protection to employees of a contractor was consistent with the purpose and intent of Sarbanes-Oxley: to protect investors and restore trust in financial markets. [read post]
7 Mar 2014, 6:47 am
FMR LLC, resolving a dispute over the scope of the whistleblower provision of the Sarbanes-Oxley Act, 15 U.S.C. [read post]
SOX Whistleblower Protection Extends to Employees of Private Contractors, According to Supreme Court
6 Mar 2014, 2:26 pm
FMR LLC, 571 U.S. ___ (2014). [read post]
6 Mar 2014, 8:22 am
FMR LLC, the court, in a majority opinion written by Justice Ginsburg, concluded that extending protection to employees of a contractor was consistent with the purpose and intent of Sarbanes-Oxley: to protect investors and restore trust in financial markets. [read post]
2 Mar 2014, 8:21 am
Code § 552(b)(4)), expressly exempts from disclosure to third parties information submitted to Executive Branch departments and agencies that are "trade secrets and commercial or financial information obtained from a person and privileged or confidential [information]." [read post]
2 Mar 2014, 8:21 am
Code § 552(b)(4)), expressly exempts from disclosure to third parties information submitted to Executive Branch departments and agencies that are "trade secrets and commercial or financial information obtained from a person and privileged or confidential [information]. [read post]
2 Mar 2014, 5:21 am
Code § 552(b)(4)), expressly exempts from disclosure to third parties information submitted to Executive Branch departments and agencies that are “trade secrets and commercial or financial information obtained from a person and privileged or confidential [information]. [read post]
26 Feb 2014, 11:01 am
The Court’s opinion in Chadbourne & Parke, LLC v. [read post]
14 Feb 2014, 12:00 pm
American United Life Insurance Company 13-455Issue: Whether Section 546(e) of the Bankruptcy Code eliminates the statutory power to avoid payments related to a securities transaction when a financial institution acts as a mere conduit for the transferred property, as the Second, Third, Sixth, and Eighth Circuits have held, or whether the financial institution must have a beneficial interest in the transferred property, as the Eleventh Circuit has held. [read post]
13 Feb 2014, 7:57 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 Boca Raton, Florida. [read post]
13 Feb 2014, 5:02 am
And even if you are married, all assets don’t automatically go to your spouse—much of it depends on state laws, says Josh Fatoullah, founder and C.E.O. of JR Wealth Advisors LLC. [read post]
10 Feb 2014, 8:19 am
Lawson knew that he lacked the ability to fund the loans through his companies and he had not secured funding or closing dates from other outside lenders. [read post]
10 Feb 2014, 6:01 am
Dahn (Dahn) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he privately borrowed money from at least two customers, an act constituting securities fraud, while being a registered representative of Mutual Service Corporation (MSC) and LPL Financial LLC (LPL). [read post]
10 Feb 2014, 5:00 am
I see the potential that the LLC membership interests might not be securities. [read post]
10 Feb 2014, 3:06 am
The common thread for these newborn LLCs is the inability or unwillingness of the business owners to invest upfront the financial resources needed to secure a customized, well-considered and well-drafted LLC agreement that anticipates and resolves through contractual means the kinds of potential disagreements — over management, finance, compensation, distributions, sale of equity stakes, etc. [read post]
7 Feb 2014, 9:24 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds and issuers of securities, among others. [read post]
6 Feb 2014, 10:10 am
Turner & Company, LLC (“JP Turner”), has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that from August 12, 2009, through September 21, 2011, Winterrowd misappropriated approximately $1.5 million from at least four different customers and used the funds for his own purposes. [read post]
4 Feb 2014, 11:23 am
[TTABlogged here].In re Waves Licensing, LLC, Appeal No. 14-1202 (Serial No. 85437501, September 30, 2013) [Section 2(d) refusal to register the mark SFG for "providing financial intermediation services to institutional investors with respect to securities and other financial instruments and products, namely, brokerage in the field of securities, trading of and investments in securities and financial instruments and products;… [read post]
31 Jan 2014, 5:15 am
For example, Penn paid hefty commissions to third parties to secure investments from pension funds. [read post]
29 Jan 2014, 2:32 pm
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 Boca Raton, Florida. [read post]
