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7 Jun 2024, 7:05 am by Silver Law Group
” Securities Arbitration Claims Against Barred Brokers Even after a broker is barred from the industry or otherwise faces disciplinary action, investors can still pursue stockbroker misconduct claims against their financial advisor and/or their brokerage firms. [read post]
7 Jun 2024, 6:44 am by Silver Law Group
If a broker or brokerage firm fails to comply with this requirement, then industry regulators can use FINRA Rule 9554 to take immediate enforcement action against them. [read post]
6 Jun 2024, 2:03 pm by John Elwood
Amalgamated Bank involves a private securities-fraud class action arising out of Cambridge Analytica’s wrongful acquisition and misuse of Facebook user data. [read post]
5 Jun 2024, 10:52 am by The White Law Group
David Lerner CEO Under Investigation  June 5, 2024: The CEO and president of David Lerner Associates Inc. is reportedly under investigation by the Financial Industry Regulatory Authority Inc. [read post]
4 Jun 2024, 9:05 pm by Dan Flynn
Activities reported within each category are either pending actions noted in earlier reports or new enforcement actions during the reporting period. [read post]
24 May 2024, 7:03 am by Eric Fruits
Justice Department (DOJ) announced yesterday that it has filed suit, along with 29 states and the District of Columbia, charging Live Nation Entertainment Inc. and its subsidiary Ticketmaster LLC with monopolizing the live-events industry in violation of Section 2 of the Sherman Act. [read post]
24 May 2024, 6:30 am by Terry Hart
— “A class-action suit was filed last week by voice actors Paul Lehrman and Linnea Sage against AI developer LOVO, Inc. [read post]
22 May 2024, 8:30 am by jeffreynewmanadmin
Without admitting or denying the SEC’s findings, ICE and its subsidiaries, consisting of Archipelago Trading Services, Inc.; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; ICE Clear Credit LLC; ICE Clear Europe Ltd.; NYSE Chicago, Inc.; NYSE National, Inc.; and the Securities Industry Automation Corporation agreed to a cease-and-desist order in addition to ICE’s monetary penalty. [read post]
22 May 2024, 5:23 am by Rob Robinson
We encourage you to delve into the latest trends, industry updates, and thought leadership to stay ahead in the eDiscovery sector. [read post]