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20 May 2020, 1:57 pm
According to FINRA Disciplinary actions for January 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Callagy, Christopher Aegis Capital Corp Oppenheimer & Co Inc Costanzo, Anthony AXA Advisors, LLC Dininno, Matthew Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Dow, Rodrick … [read post]
30 Apr 2010, 9:35 am
" Fenner Investments, Ltd. [read post]
22 May 2007, 12:19 am
Ltd and/or Merrill Lynch Pierce Fenner & Smith. [read post]
7 Jan 2012, 12:35 pm
Shepherd Smith Edwards & Kantas LTD, LLP has filed individual claims on behalf of investors that lost money from investing in mortgage backed securities through Brookstreet. [read post]
8 Feb 2012, 3:45 pm
At Shepherd, Smith, Edwards and Kantas, LTD, LLP, our stockbroker fraud lawyers represent institutional and individual clients with individual securities claims and lawsuits against investment advisers and financial firms. [read post]
12 Jun 2018, 8:51 am
Courtesy of LAWA The bonds were underwritten by Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. and Ramirez & Co., Inc. [read post]
24 Feb 2012, 3:24 pm
Shepherd Smith Edwards and Kantas, LTD, LLP is a securities fraud law firm that represents investors throughout the US. 2nd Cir. [read post]
16 Jan 2009, 7:00 am
(Spicy IP) Global credit crisis leads to boom times for legal process outsourcing businesses specialising in IP (Spicy IP) Israel Israeli bakery Matzot Aviv files trade mark infringement suit against rival Patisserie Aviv and US importer Bagel Bites (The IP Factor) Israel Patent Office relaxes conditions for modified examination (The IP Factor) Italy Italian Supreme Court recognises ‘post sale confusion’ in criminal proceedings concerning sales of… [read post]
19 Mar 2010, 4:44 am
Jesus Guerra (Slaw) (TorrentFreak) (Managing IP) United Kingdom House of Lords gives thumbs up to 3 strikes, site takedown – update on Digital Economy Bill (Ars Technica) (Michael Geist) United States US General New US broadband internet plan scrutinised; Cybersecurity Bill includes IP (IP Watch) Public Knowledge pleased with copyright language in FCC Broadband Plan (Public Knowledge) US Patents – Decisions CAFC upholds E D Texas judgment of no infringement:… [read post]
5 Jul 2008, 11:05 am
interview: (IP tango) Events 7 July: PLI briefing webcast ‘Life after Quanta v LGE: What every patent lawyer needs to know’: (PLI), 7-15 July/16-18 July: 2nd Transatlantic IP summer academy, modules one and two – Alicante/Milan: (IPKat), 9 July 2008: ALI & ABA webcast ‘Quanta v LG: What you should know’: (Patent Docs), 11 July: CIPA moot to improve participants’ understanding of procedures of EPO Technical Boards of Appeal… [read post]
18 Jul 2009, 7:31 am
The collapse of the subprime mortgage market, the ensuing credit crisis, the demise of several major investment banks and, perhaps most of all, the Madoff case led to a loss of confidence in the agency’s ability to protect investors. [read post]
20 Mar 2009, 9:00 am
(Afro-IP) United Kingdom EWHC: Independent consultant held jointly liable for infringement: MMI Research Ltd v Cellxion Ltd (PatLit) Can THE JOURNAL ever be distinctive for a journal? [read post]
14 Feb 2018, 2:57 pm
The petitioner/defendant in Kokesh was an investment advisor who provided advice to business-development companies. [read post]
17 Jul 2009, 11:33 am
Settlement Update.Fenner Investments v. [read post]
13 Oct 2010, 12:00 pm
Written by our friends at Kilpatrick Stockton, E. [read post]
23 Apr 2018, 1:20 am
The class action mechanism had enabled plaintiffs’ lawyers to file abusive “strike suits” targeting deep-pocketed defendants, often on behalf of “professional plaintiffs” with only nominal holdings in the company.[11] Congress found that these abuses resulted in extortionate settlements, chilled discussion of issuers’ future prospects, and deterred qualified individuals from serving on boards of directors, injuring the “investing public and the… [read post]
