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16 Mar 2015, 7:10 pm
Mathematically, the odds are very strong that a global realignment of the dollar, euro and yuan and their relative weighting and exchange rates will occur, and possibly soon. [read post]
17 Feb 2015, 7:05 pm
While the dollar is currently surging in value as a ‘safe haven’ investment, America faces more than the usual normal number of unsettling issues abroad. [read post]
18 Dec 2014, 12:34 am by Editors
Time to check your crystal ball to see what it portends for the legal industry in 2015 – or you can just head over to the Business of Law Blog to see what others think. [read post]
12 Nov 2014, 2:08 pm by D. Daxton White
When broker dealers fail to make suitable investment recommendations they may be liable for investment losses. [read post]
2 Nov 2014, 11:29 am by Cynthia Marcotte Stamer
The order also held Bruister Family LLC liable with all defendants for $885,065 and jointly liable with Bruister for $390,604. [read post]
1 Oct 2014, 6:26 am by Adam Gana
Furthermore, all brokers must recommend the purchase, sale or exchange of securities that are reasonable given the customers investment objectives and risk tolerances. [read post]
20 Sep 2014, 5:26 am by SHG
  And then they figured out that people would exchange the cash for things, whether they be cars or houses or jewelry, and so they criminalized the exchange of cash for goods. [read post]
18 Sep 2014, 3:14 am by Broc Romanek
Gordon and her colleagues, including requests for more detail about investment practices and references to the “economic environment. [read post]
16 Sep 2014, 7:15 am by Adam Weinstein
., was fired by SII Investments, Inc. for unauthorized trading, was fired by Kovack Securities, Inc. because of complaints alleging unauthorized trades, and finally was fired by Sandlapper Securities, LLC for soliciting sales of variable annuities without being properly appointed by the issuing company. [read post]
3 Sep 2014, 4:38 am by Broc Romanek
At issue is the amount of time the Securities and Exchange Commission gives corporations to establish who their shareholders are in advance of an annual meeting or a special meeting, such as when investors vote on a merger or acquisition. [read post]
3 Sep 2014, 1:57 am by Lawrence B. Ebert
“In order to build up a strong patent portfolio, they will also invest a lot in third-party R&D, including working with universities and research institutions in China, acquiring innovations, and so on. [read post]
13 Apr 2014, 8:59 am by Barry Sookman
  The public should not be expected to pay an elevated price in exchange for speculation, or for the statement of “any mere scientific principle or abstract theorem” (s. [read post]
5 Jan 2014, 3:30 pm by Barry Sookman
It achieves these goals by providing authors (and others) with a series of exclusive rights which enable them to control the exploitation of their works and to reap economic benefits from their investments. [read post]
26 Nov 2013, 2:28 am by Kelly Phillips Erb
While there are no legal restrictions barring an LLC from going public (Fortress Investment Group LLC (NYSE: FIG) is an example of one which has done so), most companies that do go public do so as a C corporation. [read post]
20 Nov 2013, 8:30 am by D. Daxton White
The Securities and Exchange Commission (SEC) is an agency of the US Government that was created in accordance with the Securities Exchange Act of 1934. [read post]
4 Nov 2013, 5:18 am by Adam Weinstein
 Thereafter, Hotton was a registered representative of American Capital Partners, LLC until August 2010. [read post]
29 Oct 2013, 8:57 am by Barry Barnett
EagleEye Asset Mgmt., LLC, No. 11-11576-WGY (D. [read post]