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9 Feb 2010, 2:25 pm
At a closed-door meeting scheduled for February 10, the Financial Industry Regulatory Authority board of governors will preside over a closed-door meeting to assess allegations made by Amerivet Securities Inc. that certain FINRA executives, including chief executive Mary Schapiro, received excessive pay. [read post]
4 Sep 2013, 3:14 am
If nothing else, such litigation after death gives a lot of lawyers an opportunity to earn legal fees.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, Claimant GunnAllen Financial, Inc. by and through Soneet R. [read post]
23 Nov 2010, 7:59 pm
Matrixx Initiatives, Inc, v. [read post]
15 Dec 2017, 1:02 pm
Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
27 Aug 2010, 1:16 pm
The Court in Koch Industries, Inc. v. [read post]
16 Jul 2023, 10:00 pm
In a recent development in Island Industries, Inc. v. [read post]
16 Jul 2023, 10:00 pm
In a recent development in Island Industries, Inc. v. [read post]
4 Jan 2016, 1:25 pm
He commenced an action, in part, pursuant to Labor Law § 241(6) as predicated on an alleged violation of Industrial Code 12 NYCRR 23-1.8(a) pertaining to eye protection. [read post]
16 Jul 2023, 10:00 pm
In a recent development in Island Industries, Inc. v. [read post]
16 Jul 2023, 10:00 pm
In a recent development in Island Industries, Inc. v. [read post]
16 Jul 2023, 10:00 pm
In a recent development in Island Industries, Inc. v. [read post]
16 Jul 2023, 10:00 pm
In a recent development in Island Industries, Inc. v. [read post]
5 Jan 2011, 8:31 am
Court of Appeals for the Second Circuit has affirmed a lower court’s ruling that Priceline.com, Inc. did not fit the definition of a class member described in a $336 million antitrust class action settlement agreement that resolves claims of price fixing in the consumer payment card industry. [read post]
20 Aug 2018, 1:40 pm
FINRA Broker Disciplinary Action Report August 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
2 Nov 2011, 6:14 am
After discovering an array of misconduct and negligence involving deficient practices in servicing mortgage loans and processing foreclosures, the Federal Reserve Boards has announced it will be taking formal enforcement actions against the Goldman Sachs Group, Inc. and Goldman Sachs Bank USA. [read post]
4 Dec 2018, 10:34 am
It sought to obtain settlement agreement, licensing agreements and any other related agreements between King Pharmaceuticals , Meridian Technologies, Inc. and Pfizer, Inc., the respondents in the proceeding (collectively, the "Respondents") and Teva Pharmaceutical Industries, Ltd. [read post]
20 Sep 2023, 10:47 am
The post Key Employment Law Bills Awaiting Gubernatorial Action, Part 2 appeared first on HRWatchdog by HRWatchdog. [read post]
30 Oct 2011, 8:10 am
©2011 Amaxx Risk Solutions, Inc. [read post]
14 Jan 2019, 10:22 am
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s). [read post]
8 May 2024, 7:20 pm
Inc. reportedly settled with the Financial Industry Regulatory Authority (FINRA), agreeing to pay a $500,000 fine. [read post]
