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20 Jun 2014, 8:09 am by D. Daxton White
As the sole owner and employee of Glover, Inc., Glover was not required to register as an investment adviser representative of Glover,Inc. [read post]
11 May 2018, 3:22 am by Cynthia Marcotte Stamer
Stamer works with businesses and their management, employee benefit plans, governments and other organizations deal with all aspects of human resources and workforce, internal controls and regulatory compliance, change management and other performance and operations management and compliance. [read post]
10 Jun 2008, 9:09 pm
Daniel, the Business Court denied the Defendant's request to amend its Answer to add a statute of limitations defense and a defense of ERISA preemption. [read post]
31 Mar 2012, 8:17 pm
Sung Hyun Min, formerly with Etech Securities Inc., in Pasadena, California, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days in relation to a finding that he permitted a non-registered person to service his customer accounts resulting in a loss of $60,000 in one of those accounts. [read post]
21 Dec 2020, 5:17 pm by Cynthia Marcotte Stamer
Health plans, health care providers, health insurers, health care clearinghouses (“Covered Entities”) and their business associates should budget and begin compliance plans, even as they comment on proposed changes to the Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule announced by the Department of Health & Human Services Office of Civil Rights (“OCR”) in its December 10, 2020 Notice of Proposed Rulemaking (“Proposed Rule). [read post]
30 Oct 2012, 10:58 am by David Jensen
Woolf pointed to the offer by Biotime, Inc., of Alameda, Ca., as a way for Geron shareholders to benefit. [read post]
4 Oct 2019, 6:00 am
Katz and Laura McIntosh, Wachtell, Lipton, Rosen & Katz, on Friday, September 27, 2019 Tags: Business Roundtable, Hedge funds, Investor horizons, Long-Term value, Securities regulation, Shareholder activism, Shareholder primacy, Short-termism Taking Significant Steps to Modernize Our Regulatory Framework Posted by Jay Clayton, U.S. [read post]
9 Feb 2011, 6:14 pm by Peter Vodola
Instead of using investors’ funds to buy insurance benefits, the defendants spent the investors’ money on real and personal property placed in the names of [others], and transferred money to other corporations to purchase properties and invest in various businesses.... [read post]
28 Jul 2010, 8:24 pm by Narendra Ghosh
Carolina Quality Exteriors, Inc., concerned whether the plaintiff was an employee or an independent contractor of the defendant. [read post]