Search for: "Settlement of Professional Negligence Action Without Consent of Client"
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16 Nov 2017, 1:36 pm
I am a legal professional and I have great pride and confidence in the legal services that I perform for clients during our relationship as attorney-client. [read post]
17 Mar 2024, 7:14 pm
The settlement, submitted through a Letter of Acceptance, Waiver, and Consent (AWC), includes findings by FINRA without admission or denial by Stifel. [read post]
2 May 2024, 12:35 pm
This action violated NASD Rule 2510(b), which prohibits registered representatives from exercising discretion in customer accounts without written authorization accepted by the member firm. [read post]
22 Aug 2023, 8:46 am
This alleged trading occurred without his employer’s knowledge or consent. [read post]
24 Jan 2024, 9:00 am
Wrongful death occurs when someone dies due to another person’s negligent actions or omissions. [read post]
20 Jun 2022, 3:59 pm
Consent Errors – medical professionals are required to inform a patient about the risks and benefits of a treatment plan. [read post]
21 Apr 2015, 5:28 pm
In January 2012, clients of CBR filed a putative class action under Californ [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… [read post]
2 Nov 2017, 2:05 pm
I am a legal professional and I have great pride and confidence in the legal services that I perform for clients during our relationship as attorney-client. [read post]
30 Mar 2023, 6:52 am
If your broker or investment advisor breaches any of these duties, they may be subject to disciplinary action by regulatory authorities, and the client may have the right to pursue legal action to recover damages. [read post]
16 Aug 2023, 9:04 am
FINRA was investigating allegations that Coburn was involved in the solicitation of multiple clients to invest in an unapproved private securities transaction and reportedly engaged in the settlement of a related customer complaint without the Firm’s knowledge or consent. [read post]
2 Apr 2007, 2:55 am
The trial court concluded that Coombs did not commit professional negligence and that he was not personally liable for the monies Collins owed Baker. [read post]
27 Apr 2007, 11:10 am
The trial court concluded that Coombs did not commit professional negligence and that he was not personally liable for the monies Collins owed Baker. [read post]
17 Apr 2023, 12:40 pm
Investment Management Company reportedly advised clients to purchase or hold mutual fund share classes that charged higher fees, called 12b-1 fees, when lower-cost share classes of those same funds were available and without the 12b-1 fees. [read post]
1 May 2024, 10:16 pm
Komarow reached a partial settlement with the SEC, agreeing not to open any brokerage accounts without providing a copy of the SEC’s court complaint and judgment and is barred from placing trades using unsettled cash. [read post]
10 Apr 2024, 8:45 pm
Don't consent to a settlement without consulting a lawyer. [read post]
16 Jan 2012, 10:02 am
GDC VIEW, LLC, a Florida Limited Liability Company, Appellee. 1st District.Contracts -- Condominium sale -- Return of deposit to buyer -- Withholding portion of deposit -- Action by buyer seeking to void contract for developer's violation of section 718.202, Florida Statutes, by conditioning return of buyer's deposit upon its lender's consent to return the deposit -- Er [read post]
23 Sep 2011, 12:08 pm
Yes, this is a criminal action brought against the surgeons and the hospital. [read post]
17 Dec 2018, 3:14 pm
Consider last week’s announcement that professional boxer Floyd Mayweather and superstar music producer DJ Khaled pumped up ICOs without telling investors they were getting paid a promotional fee to do so. [read post]
18 May 2019, 9:27 am
Rohrmoos also counterclaimed for negligence and breach of contract. [read post]
