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20 Dec 2018, 10:33 am by ccollins
 Financial Industry Regulatory Authority (FINRA) also imposed fines over the same purported anti-money laundering (AML) deficiencies—a $4.5M fine for UBS Financial Services and a $500K fine for UBS Securities, LLC. [read post]
20 Dec 2018, 9:49 am by Lebowitz & Mzhen
If you have recently lost a loved one in a Maryland motorcycle accident, consider contacting the dedicated Maryland motorcycle accident lawyers at the law firm of Lebowitz & Mzhen, LLC. [read post]
18 Dec 2018, 11:20 am by Gene Quinn
Federal Circuit issued a Rule 36 summary judgment in Chart Trading Development, LLC v. [read post]
18 Dec 2018, 11:03 am by Silver Law Group
According to FINRA Disciplinary actions for November 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Jose Arizmendi   Silber Bennett Financial, Inc   TCFG Wealth Management, LLC   Tani Balas   SCF Securities, Inc   Klopp Agency  … [read post]
17 Dec 2018, 9:02 pm by Coral Beach
Also, despite a new policy announced in recent months by FDA Commissioner Scott Gottlieb, the agency has not released a list of specific retailers that received the recalled butters. [read post]
17 Dec 2018, 3:14 pm by Kevin LaCroix
John Reed Stark On November 29, 2018, the SEC announced that it had settled charges with boxer Floyd Mayweather Jr. and music producer DJ Khaled for failing to disclose payments they received for promoting investments in Initial Coin Offerings (ICOs). [read post]
Blockvest LLC et al., case number 3:18-cv-02287, denied the SEC’s Motion for Preliminary Injunction to enjoin Blockvest’s ICO on the SEC’s claim that Blockvest’s pre-ICO capital raising was a securities law violation. [read post]
17 Dec 2018, 8:05 am by Bob Ambrogi
Outside funding: Less than $1M in outside funding DocStyle LLC Founded: 10/12/2018. [read post]
17 Dec 2018, 2:09 am
One day after oral argument, the Board issued its 38-page decision sustaining the oppositions of American Express to registration of AMERIXPRESS for "Import agency services" and AMERIXPRESS LLC for nutritional supplements and "Export agency services for the goods of others," on the grounds of likelihood of confusion with, and likelihood of dilution of, the mark AMERICAN EXPRESS, registered for various financial and credit card services, and for… [read post]
14 Dec 2018, 2:22 pm by John Mattox
This issue recently arose in Shearwater Mission Support, LLC, B-416717 (Nov. 20, 2018). [read post]
14 Dec 2018, 11:54 am
In November 2018, the Environmental Protection Agency (EPA) conducted testing of the air near the Sterigenics plant, and these tests found that in certain locations, levels of ethylene oxide continue to exist in the atmosphere. [read post]
14 Dec 2018, 9:29 am by Marcie Mangan
Salvi, Schostok & Pritchard has filed multiple lawsuits against the companies responsible for the toxic air pollution: Sterigenics International, LLC and its Chicago-based parent company, GTCR, LLC. [read post]
14 Dec 2018, 9:18 am by Lebowitz & Mzhen
Once the 20% in each state is identified, the CMS will provide the names of the facilities to state agencies. [read post]