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29 Mar 2016, 10:00 pm
" Thus, the PTAB concluded that the voluntary dismissal without prejudice "nullifie[d] the effect of the service of the complaint. [read post]
11 Jan 2023, 11:01 am
Over GPB Automotive and GPB Holdings Disclosure Failures appeared first on Zamansky LLC. [read post]
19 Nov 2018, 4:17 am
[Answer in first comment].In re Hibernia Distillers Limited, Serial No. 86523391 (October 1, 2018) [not precedential] (Opinion by Judge Cindy B. [read post]
20 Aug 2009, 6:30 am
(d/b/a Mad Mod); Pure Bamboo, LLC (website); and The M Group, Inc. [read post]
4 Nov 2016, 6:02 am
In the end, it's all really the customer's fault but that doesn't matter because we got rules, and those rule have to be followed.Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, tradeMONSTER (n/k/a Aperture, LLC d/b/a Optio... [read post]
20 Jun 2018, 3:44 pm
Holler purportedly violated FINRA Rule 3280(b), an industry rule that prohibits brokers from participating in private securities transactions, without first providing written notice to their employer firm. [read post]
16 Jul 2014, 2:43 am
Box Acquisitions, LLC d/b/a Box Partners, LLC v. [read post]
16 Apr 2024, 6:37 am
In re Suarez Industries, Inc., Serial No. 97602779 (April 10, 2024) [not precedential] (Opinion by Judge Michael B. [read post]
6 Apr 2011, 1:43 pm
In the Order, ALJ Rogers denied Respondent Wetherill Associates, Inc. d/b/a WAI Global’s (“WAI”) motion to compel complainants Remy International, Inc. and Remy Technologies, L.L.C., (collectively “Remy”) to either amend their complaint to name BBB Industries, LLC (“BBB”) as a respondent or withdraw their request for a general exclusion order. [read post]
23 May 2016, 7:34 am
" Blackbird Tech LLC d/b/a Blackbird Technologies v. [read post]
19 Aug 2017, 6:45 am
Miller, Ethics Metrics LLC, on Saturday, August 19, 2017 Editor's Note: Beckwith B. [read post]
25 Oct 2023, 8:00 am
., LLC, doing business as “Library Hotel,” is said to have violated federal law because it refused to accommodate a disabled employee (who suffered from musculoskeletal impairments) because it declined that individual’s request to sit at a stool while working at the front desk and also refused a request to limit walking.Faced with those impediments, the employee was reportedly compelled to resign.Believing that such conduct violated the ADA, the United States Equal… [read post]
5 Jun 2023, 3:11 pm
The legal battle between GoTV Streaming, LLC and Netflix, Inc. continues to unfold, captivating the streaming industry and legal observers alike. [read post]
27 Jan 2017, 12:53 pm
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Sorensen (Sorensen) currently associated with Allegis Investment Services, LLC (Allegis Investment), d/b/a Soresnsen Financial, Inc., alleging unsuitable investments, unauthorized trading, and misrepresentations among other claims. [read post]
10 Nov 2011, 8:59 am
The order denied Respondent Wetherill Associates, Inc. d/b/a WAI Global’s (“WAI”) motion for summary determination that Complainants Remy International, Inc. and Remy Products, LLC (collectively, “Remy”) could not satisfy the economic prong of the domestic industry requirement. [read post]
17 Dec 2017, 9:07 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jerry Guttman (Guttman), operating under the d/b/a Guttman Financial Group, in November 2017, was barred from the financial industry by FINRA concerning allegations that he sold more than $7,000,000 worth of membership interests in at least six different limited liability companies to 38 customers without proper disclosure. [read post]
14 Jul 2020, 6:39 am
According to the Complaint, Kelley Global Brands, LLC d/b/a KLH Audio (“KLH”), the Defendant, manufactures and sells audio equipment. [read post]
20 Jul 2018, 12:52 pm
BrokerCheck shows that Owens operates his business through a d/b/a Premier Financial Resources and Premier Financial Solutions. [read post]
20 Jul 2018, 12:52 pm
BrokerCheck shows that Owens operates his business through a d/b/a Premier Financial Resources and Premier Financial Solutions. [read post]
22 Nov 2013, 6:00 am
That pipeline expansion is expected to start service by the end of 2013 and will increase the capacity to 100,000 b/d. [read post]
