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7 Aug 2023, 4:51 am
Financial Industry Regulatory Authority, Inc., Defendant (Complaint, United States District Court for the... [read post]
2 Dec 2012, 4:00 am
In Bodum USA, Inc. [read post]
21 Nov 2011, 7:18 am
In fact, the Financial Industry Regulatory Authority Inc. [read post]
21 May 2022, 10:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6467/securities-industry-commentator/TradeZero, Meme Stocks, and High Dudgeon From the SEC (BrokeAndBroker.com Blog)94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)Stephen A. [read post]
4 Dec 2020, 6:16 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5579/securities-industry-commentator/GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq (BrokeAndBroker.com Blog)SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill (SEC Release)Justice Department Announces Additional Distribution of more than… [read post]
30 Jan 2020, 12:46 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5048/securities-industry-commentator/Running on Empty: A Proposal to Fill the Gap Between Regulation and Decentralization (Speech by SEC Commissioner Commissioner Hester M. [read post]
14 Jun 2019, 6:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4648/securities-industry-commentator/Orange is the new black for Aequitas execs as Ponzi nightmare nears end-game with jail time (RIABiz.com by Oisen Breen)Puhlease tell me that it can't be this easy. [read post]
20 Mar 2020, 12:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5132/securities-industry-commentator/The coronavirus may be deadlier than the 1918 flu: Here’s how it stacks up to other pandemics (CNBC.com by Berkeley Lovelace Jr.)SEC Suspends Trading in the Securities of Zoom Technologies, Inc. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter… [read post]
13 Mar 2015, 9:57 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
19 Feb 2020, 4:03 pm
In 2017, Pfizer Inc. [read post]
11 Sep 2020, 11:35 am
The Financial Industry Regulatory Authority (FINRA) has issued a warning to investors regarding “China” stocks. [read post]
29 Jan 2017, 10:53 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Bryon Glime (Glime) formerly associated with Capital Investment Group, Inc. [read post]
11 Oct 2011, 9:36 am
Below is an On Wall Street piece about our firm's representation of a Saudi investor in a $383 million FINRA arbitration against Citigroup Global Markets, Inc. [read post]
7 Nov 2020, 3:38 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
21 May 2011, 9:24 pm
Google Inc. was warned repeatedly by a group of state regulators and industry watchdogs that many of the online drugstores advertising on its network were violating U.S. laws, according to interviews and documents reviewed by The Wall Street Journal. [read post]
18 May 2010, 3:02 pm
According to the article: At least 20 Senators and Congressmen have scheduled fundraisers in May targeting the securities industry or hosted by lobbyists for firms such as Goldman Sachs Group Inc. and Citigroup Inc. [read post]
31 Jan 2008, 9:01 am
AP: A "heavy loss" by bond insurer MBIA Inc., and the prospect of new downgrades in the bond insurance industry. [read post]
26 Feb 2012, 1:05 pm
Erik has been quoted in the Wall Street Journal, BusinessWeek and the Washington Post and regularly featured in trade and industry publications.Our appreciation is extended to Don and Erik for presenting an informative session on retail perspectives. [read post]
27 Nov 2009, 9:04 am
On November 24, 2009, Matthew Bullock of Mclean, Virginia and Walnut Industries, Inc. of Bensalem, Pennsylvania (collectively, “Walnutâ€) filed a complaint requesting that the ITC commence an investigation pursuant to Section 337. [read post]
