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22 Apr 2024, 11:39 am
FINRA Bars NYLife Broker Fernando Corcuchia after Allegations According to public records, on April 12, 2024, FINRA, the self-regulator, has reportedly barred Fernando Corcuchia from associating with any FINRA member at any time.On May 12, 2023, NYLife filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that Corcuchia had been permitted to resign after a review of his business practices revealed that he had violated… [read post]
19 Oct 2015, 8:00 am
Thereafter since August 2010, Kipp has been associated with NFB Financial Group, LLC out of the firm’s Ventura, California office location. [read post]
8 Sep 2014, 10:00 pm
MMI Since the employer denied that the L-1 herniation was related to the accident, it refused to provide any of the recommended treatment associated with the injury. [read post]
26 Aug 2020, 9:30 am
” Citizens of Humanity, LLC v. [read post]
15 Oct 2021, 12:33 pm
After FINRA requested information related to his termination, Vizanko failed to respond to two letters dated May 26, 2021 and June 21, 2021. [read post]
25 Oct 2015, 8:48 am
Source: PARALLEL NETWORKS, LLC v. [read post]
30 Jun 2011, 8:36 am
In Liberty Sales Associates, Inc. v. [read post]
25 Jul 2018, 7:28 am
The former Subway employee, in his suit against Subway IP, Inc. learned during discovery that Franchise World Headquarters LLC (FWH) and Doctors Associates Incorporated (DAI), two wholly-owned subsidiaries of Subway, may be liable as franchisor employers for the franchise restaurant’s wage and hour violations. [read post]
1 Dec 2020, 11:47 am
(Noonan), formerly associated with BMA Securities, LLC (BMA Securities), has been subject to at least one customer complaint, one regulatory action, and eight judgement or liens during his career. [read post]
25 Feb 2020, 6:22 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Edward Rudiger (Rudiger), currently associated with Reid & Rudiger LLC (Reid & Rudiger), has been subject to at least six customer complaints and one lien or judgement matters during his career. [read post]
6 Mar 2017, 3:34 am
In re Republic National LLC, Serial No. 86513101 (February 23, 2017) [not precedential].The Board pointed out that a specimen of use must show "some direct association between the offer of services and the mark sought to be registered therefor. [read post]
28 Jan 2016, 1:33 pm
FINRA notified the broker’s firm, and the man was terminated within ten days. [read post]
27 Sep 2018, 1:45 pm
Taxi Affiliation Services LLC, 2018 WL 4589999, No. 17 C 8326 (N.D. [read post]
27 May 2020, 7:48 am
Ryan Botner Disclosures Ryan Botner has four disclosures on his publicly-available FINRA BrokerCheck report, including 2 customer disputes, 1 employment separation, and 1 regulatory: August, 2019: A regulatory disclosure states that Botner failed to respond to a FINRA request for information and failed to request termination of his suspension and was indefinitely barred in all capacities from association with a FINRA member firm. [read post]
24 Nov 2014, 3:03 pm
K12, INC., a Delaware Corporation, K12 FLORIDA, LLC, a Florida Limited Liability Company, Defendants-Appellees. 11th Circuit. [read post]
4 Oct 2022, 8:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Pecoraro (Pecoraro), associated with Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least 11 customer complaint, six regulatory actions, and one judgement or liens during his career. [read post]
2 May 2014, 7:25 am
District Court for the Eastern District of Louisiana held April 3 (Associated Pump & Supply Co., LLC v. [read post]
6 Jan 2019, 7:35 am
Mondelez Global, LLC v International Association of Machinists and Aerospace Workers, AFL-CIO, District 8, Local Lodge 1202. [read post]
19 Mar 2014, 7:01 am
Associational disability discrimination. [read post]
10 Aug 2007, 4:21 am
Lance Johnson, Director of the Society for the Prevention of Trademark Abuse, LLC, has sent a letter to the TTABlog (pdf here) providing further details regarding the sale of Leo Stoller's trademark assets, reported yesterday at this blog. [read post]
