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19 Apr 2021, 1:56 pm
The combined company was known as Alta Mesa Resources, Inc., with AMH and Kingfisher as subsidiaries of Alta Mesa. [read post]
21 Oct 2010, 6:59 am
Pennsylvania Physician Advisors, Inc. is an investment advisor registered with the Pennsylvania Securities Commission. [read post]
24 Jan 2019, 1:55 pm
Ison was also registered with Globalvest Group, Inc. in Chicago, Illinois from May 21, 2004 until August 26, 2004, FINRA notes. [read post]
30 Mar 2011, 6:17 am
The SEC has civilly charged an FDA employee under 17(a) and 10(b) with violating his duty of trust and confidence to the FDA and misappropriating drug approval information by using it to make $3.6 million in trading securities. [read post]
19 Dec 2016, 7:56 am
The Financial Industry Regulatory Authority Inc. on Thursday hit Allstate Financial Services with $1 million dollar fine for a breakdown of the firm’s failure to supervise information. [read post]
22 Jun 2023, 7:35 am
The group serves 11,000 independent brokers through the following firms, managing $500 billion in client assets: FSC Securities Corporation, SagePoint Financial, Inc. [read post]
3 Jan 2018, 7:13 am
Some of the smaller NRSROs have also gained market share in rating more traditional types of asset-backed securities; for example, DBRS, Inc., rated nearly two-thirds of the transactions backed by student loans that priced during the report period. [read post]
22 Dec 2020, 9:24 am
INC. [read post]
5 Jun 2018, 11:40 am
Securitas Security Services USA, Inc., the court posed the question of “whether a plaintiff who brings a representative action under PAGA may seek penalties not only for the Labor Code violation that affected him or her, but also for different violations that affected other employees. [read post]
31 May 2022, 5:33 am
Securities and Exchange Commission (SEC) announced charges against BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations in investment decisions. [read post]
3 Feb 2015, 6:42 am
As we previously reported, shares of mutual fund provider Virtus Investment Partners Inc. [read post]
13 May 2014, 4:31 am
Here’s news from Paul Weiss (memos on this case are posted in the “Securities Litigation” Practice Area): In an opinion that may dramatically change the landscape of stockholder litigation, the Delaware Supreme Court upheld – in ATP Tour, Inc. v. [read post]
1 Aug 2019, 9:29 pm
A Palm Beach County wrongful death lawsuit is the second in three months against automaker Tesla Inc. involving its driver-assisted Autopilot feature – one that plaintiffs say give drivers a false sense of security and fail to live up to the express and implied promises made to consumers. [read post]
6 Feb 2020, 5:28 am
The district court noted that the officers “use keys to guard the inmates and to lock and unlock doors to ensure security;” use radios to communicate with officers at their posts and to give instructions throughout the day; and use restraints and pepper spray to control unruly inmates. [read post]
28 Mar 2023, 7:53 am
And I offer a brief, nostalgic requiem for Toshiba, which is being broken up for scrap by what’s left of Japan Inc. [read post]
29 Mar 2018, 9:17 am
According to his FINRA BrokerCheck report, while allegedly perpetrating the scheme, Savoie was registered with Cambridge Investment Research Inc., in Metairie, LA from July 2013 until August 2015 when he was discharged. [read post]
18 Jul 2007, 9:09 am
Liao are also implicated (AOB Commerce, Inc., AOB Asia Fund I, LLC, AOB Management, Inc., AOB Transportation, Inc., AOB Vacations, Inc., and AOB Media, Inc.). [read post]
3 Feb 2014, 8:54 am
Rather, it assumes that promoting the progress of knowledge is advantageous and directs Congress to achieve this benefit by securing exclusive rights in intellectual property. [read post]
22 Jul 2010, 2:24 pm
“Likewise, a company that allows consumers to designate their information as private must use reasonable security to uphold such designations. [read post]
19 Oct 2021, 8:53 am
Class Action Allegations According to the class action lawsuit, which was filed in the US District Court for the Southern District of New York, Goldman Sachs Group Inc. and Morgan Stanley (Defendants) traded with non-public material information. [read post]
