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10 Jul 2012, 8:26 am
Peregrine Financial Group, Inc. and Russell Wasendorf , Sr., Case No. 12-CV-05383 (Northern District of Illinois) discussed in the prior post regarding PFGBest. [read post]
10 Jul 2012, 8:26 am
Peregrine Financial Group, Inc. and Russell Wasendorf , Sr., Case No. 12-CV-05383 (Northern District of Illinois) discussed in the prior post regarding PFGBest. [read post]
10 Jul 2020, 1:46 pm
At times relevant to perpetrating his criminal scheme, Kiffmeyer was a registered representative and financial advisor for FINRA broker/dealer Brokers International Financial Services, LLC. [read post]
19 Oct 2008, 9:11 pm
Europe has set the pace for the United States, opines the New York Times (HT: David): After initially dithering, Europe's leaders came up with a financial bailout plan that has now set the pace for Washington, not the other way around, as had been customary for decades. [read post]
21 Sep 2020, 6:11 am
First and foremost, at all times relevant, Fries was a registered, licensed, representative of TransAmerica. [read post]
5 Aug 2018, 12:19 pm
A federal criminal sentencing hearing involves more than just the amount of time a person might have to go to prison. [read post]
23 Apr 2009, 6:18 am
And that time is now for many participants. [read post]
24 Jun 2011, 5:11 am
It is time time to head for the door.Fretting support staff6Do administrative assistants who work directly for major players look worried all the time? [read post]
14 Apr 2007, 2:23 pm
Financial Planning Association website Press Reports New York Times March 31, 2007 LA Times March 31, 2007 [read post]
Financial Industry Groups Criticize New York Department of Financial Services Cybersecurity Proposal
21 Dec 2016, 12:40 pm
Tiffany Quach As we previously reported, in September 2016 the New York Department of Financial Services (the “DFS”) proposed a regulation that would require banks, insurance companies and other financial services institutions regulated by the DFS to adopt broad cybersecurity protections (the “Proposal”). [read post]
15 Oct 2014, 2:30 pm
After considering expert testimony, the Court found that the intrinsic value of Rural stock at the time of the merger was $21.42/share, or $4.17/share more than the merger consideration. [read post]
17 Sep 2009, 4:00 am
Michigan's Carl Levin gave the keynote address at the Washington conference of the Task Force on Financial Integrity and Economic Development. [read post]
18 May 2008, 5:08 am
Therefore, the more money that is paid into the mortgage (even if it is left in for a short time) the lower the interest charged. [read post]
30 Jun 2008, 4:27 am
Harold Wegner's piece on Bessen/Meurer that appeared in the Financial Times was reproduced in the Los Angeles Times. [read post]
26 Aug 2008, 3:40 pm
What is unique about a structured settlement is its time sensitivity to the settlement of a lawsuit or the release of claims. [read post]
28 Jan 2009, 2:35 am
The Chairman of the FSA, Lord Adair Turner, gave a speech on 21 January 2009 setting out his views of the causes of the current financial crisis and outlining the future of financial regulation. [read post]
1 Dec 2020, 1:03 pm
Can a Traumatic Brain Injury Worsen Over Time? [read post]
26 Jan 2015, 8:24 am
FINRA pointed to the fact that during all of 2011 and much of 2012, BD OPS had only three full-time staff serving as field auditors. [read post]
17 Jun 2016, 6:29 am
From the post at The RegisterIn a separate piece last week ("Brexit vote would harm EU unitary patent plans"), the FT reported that: "The long-awaited single European patent, protecting inventions through out the EU, is set to arrive next year - unless Britain votes to leave" the EU.Everyone quoted in this pro-EU piece was an IP lawyer, yet according to the paper, these same IP lawyers represent a serious existential threat to innovation in the US and Europe. [read post]
26 Jan 2016, 9:29 am
Advisors accused by state regulators of misleading investors include Sidney Evans with Equity Advisors LLC and Erryn Barkett with LPL Financial. [read post]
