Search for: "Cooper Industries LLC"
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26 Oct 2009, 2:22 pm
Cooperating Witness Rajaratnam allegedly obtained nonpublic corporate information from a ring that included a cooperating witness. [read post]
1 Feb 2024, 11:55 am
Morgan Securities LLC Wells Fargo Clearing Services, LLC Stalin Cruz SW Financial Windsor Street Capital, L.P. [read post]
20 Sep 2007, 2:32 pm
” Applied Interact, LLC v. [read post]
12 Jul 2017, 5:58 am
, Ferraiuoli LLC [read post]
8 Feb 2017, 3:09 am
Shaw Industries Group, Inc., et al., No. 16-108 (Achates redux – review of statute-of-limitations for filing IPR requests) Safe Harbor: Amphastar Pharmaceuticals, Inc., et al. v. [read post]
1 Sep 2011, 4:15 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in May, June, July and August 2011: Midas Securities, LLC, in Anaheim, CA, was fined $80,000 in connection with a finding by FINRA that they failed to reasonably supervise registered representatives in the sale of unregistered securities. [read post]
18 Feb 2009, 6:31 am
The attorneys at Lebowitz & Mzhen, LLC believe that this federal law makes it more likely that employees will report workplace conduct that ultimately puts motorists at risk for injuries that are avoidable. [read post]
19 Feb 2012, 3:30 pm
The distributor of these toys is International Playthings LLC. [read post]
16 Jan 2017, 5:44 pm
IP Holdings LLC v. [read post]
8 Aug 2023, 9:31 am
“So here are three takeaways for those firms who haven’t yet done so: self-report, cooperate and remediate. [read post]
8 Jun 2017, 2:46 pm
Our firm has also handled many shareholder and LLC disputes between owners of closely held corporations, and LLCs. [read post]
1 Feb 2024, 3:27 pm
Department of Commerce’s Bureau of Industry and Security (“BIS”) issued new guidance to incentivize voluntary self-disclosure (“VSD”) of possible violations of the Export Administration Regulations (“EAR”). [read post]
28 Apr 2022, 8:28 am
Emerson Equity LLC Newport Coast Securities, Inc. [read post]
8 Nov 2021, 1:01 pm
NYLIfe Securities LLC Kyle Stevens SECU Brokerage Services, Inc. [read post]
31 Mar 2016, 9:51 am
FINRA Broker Disciplinary Action Report March 2016 Each month and again on a quarterly basis, 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]
7 Jul 2009, 4:31 pm
The sharp criticism of JG Wentworth is notable because it comes from outside the structured settlement industry. [read post]
23 Aug 2011, 6:16 am
Costello from Costello, Carlson & Butzon, LLC in Lakefield, Minnesota. [read post]
19 Aug 2010, 6:46 am
Another was Marlifran Investments LLC, a New Jersey company that Sharesleuth linked to Samuel DelPresto, a former stockbroker and convicted felon who was barred from the securities industry for his role in a fraud and manipulation scheme that cost investors more than $100 million. [read post]
24 Mar 2021, 6:30 am
Employees become more cooperative. [read post]
8 Nov 2021, 1:27 pm
Ricardo Uliambre Morgan Stanley Smith Barney LLC UBS Financial Services Inc. [read post]
