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24 Sep 2017, 7:33 am by Adam Weinstein
  From 2000 until February 2016, Wyman was registered with Royal Alliance Associates, Inc. [read post]
15 Sep 2017, 11:51 am by Mark Astarita
 These impactful actions included:In the Matter of Royal Alliance Associates, Inc. et al., which resulted in the payment of $9.5 million in monetary relief stemming from alleged anti-fraud violations based on alleged failure to monitor client accounts and to disclose conflicts in selecting mutual fund share classes for clients. [read post]
13 Sep 2017, 4:00 pm by Cynthia Marcotte Stamer
Employers beware of potential National Labor Relations Act unfair labor practices risks that may arise from their adoption or enforcement of overly broad or restrictive workplace recording, acceptable use, workplace conduct, commitment-to-integrity or other policies that might be construed to prohibit or deter employees from exercising protected organization or other collective bargaining rights under the National Labor Relations Act (NLRA) in light of the Fifth Circuit’s July 25, 2017 … [read post]
4 Sep 2017, 2:20 pm by Kevin LaCroix
The likeliest explanation is that increased levels of securities suit filings reflect changes in the plaintiffs’ securities class action bar. [read post]
22 Aug 2017, 5:00 am by Donovan Gibbons
In Walgreens Boots Alliance, Inc., 2016 BL 376203 (Nov. 7, 2016), Walgreens Boots Alliance (“Walgreens”) asked the staff of the Securities and Exchange Commission (“SEC”) to permit omission of a proposal submitted by the Sisters of the Humility of Mary (“Shareholders”) requesting that the board of directors issue a report about the risks of the continued sales of tobacco products in Walgreens’ stores. [read post]
8 Aug 2017, 8:54 am by Cynthia Marcotte Stamer
She supports her clients both on a real-time, “on demand” basis and with longer term basis to deal with all aspects for workforce and human resources management, including, recruitment, hiring, firing, compensation and benefits, promotion, discipline, compliance, trade secret and confidentiality, noncompetition, privacy and data security, safety, daily performance and operations management, emerging crises, strategic planning, process improvement and change management,… [read post]
2 Aug 2017, 4:23 pm by Cynthia Marcotte Stamer
Citizenship and Immigration Services twice a year invites the highest scorers to file full applications and undergo security vetting. [read post]
1 Aug 2017, 2:34 pm by Cynthia Marcotte Stamer
She supports her clients both on a real-time, “on demand” basis and with longer term basis to deal with all aspects for workforce and human resources management, including, recruitment, hiring, firing, compensation and benefits, promotion, discipline, compliance, trade secret and confidentiality, noncompetition, privacy and data security, safety, daily performance and operations management, emerging crises, strategic planning, process improvement and change management,… [read post]
19 May 2017, 8:27 am by Jay Salamon
Bennett worked with five firms between 1987 and 2015: Wheat First Securities, Inc., in Charlotte, North Carolina; Legg Mason Wood Walker, Incorporated, in Baltimore, Maryland; Citigroup Global Markets Inc. in New York, New York; Royal Alliance Associates, Inc., in Washington, D.C.,; and Western International Securities, Inc., in Washington, D.C. [read post]