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19 Jul 2019, 5:58 am
KKR Financial Holdings, LLC, the Delaware Supreme Court held that, under most circumstances, approval of a transaction by a majority of fully informed, uncoerced stockholders invokes deferential business-judgment-rule review, notwithstanding that absent such approval a heightened level of scrutiny would apply. [read post]
10 Jul 2020, 5:00 am
Black and his affiliated entities Financial Tree (d/b/a Financial Tree Trust), Financial Solution Group (d/b/a Financial Solution Group Trust), and New Money Advisors, LLC, as well as his associates Christopher Mancuso and Joseph Tufo. [read post]
2 Jun 2011, 10:33 pm
The suit says Durling’s Las Vegas business had escrow accounts at Service1st Bank of Nevada and that money from those accounts as well as accounts in Denver and Evansville, Ind., at times was diverted to cover Durling’s personal expenses as well as to his unrelated businesses in Utah called Spoko Entertainment LLC and Onguria LLC. [read post]
16 Feb 2008, 10:48 am
Darer, CLU ChFC CSSC 4structures.com, LLC Stamford, CT 1/26/2008 Introduction Legendary trial lawyer Joe Jamail recently told the members The National Structured Settlement Trade Association that a structured settlement was like "a helping hand" that protects the "needy from the greedy". [read post]
23 Sep 2020, 4:58 pm
Roger Duval, Pruco Securities, Bellevue, Washington FINRA Reportedly Bars Roger Duval after Allegations of Converting Customer Funds According to the public records from the Financial Industry Regulatory Authority (FINRA), on September 19, the regulator has reportedly barred Roger Allan Duval (Roger Duval) from associating with any FINRA member at any time. [read post]
13 Dec 2023, 8:41 am
On November 27th, Chief Judge Colm Connolly of Delaware released a blistering opinion reprimanding counsel for inexcusable and willful lapses in professional responsibility, misrepresentations to the USPTO, and potential unauthorized practice of law all associated with the patent assertion entity IP Edge LLC (IP Edge) and its affiliate Mavexar LLC (Mavexar). [read post]
13 Feb 2015, 6:50 am
FINRA alleged that Baldinger disclosed the existence of Eventus to LPL but did not disclose the other businesses engaged in by Eventus or his role in those businesses. [read post]
28 Mar 2024, 10:36 am
FINRA Rule 2150 prohibits any member or person associated with a member from making improper use of a customer’s securities or funds. [read post]
29 Nov 2021, 11:50 am
Each case is different.Posted by Green and Associates [read post]
25 Mar 2014, 10:17 am
These expenses included CEC’s rent, salaries, office lunches, business cards, employee hiring costs, gifts, CEC registration expenses and other employee benefits such as tuition costs, retirement, and bonuses. [read post]
30 Jul 2011, 12:28 pm
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINEJuly 25 (Bloomberg) — K1 Group founder Helmut Kiener was convicted of defrauding investors with a 345-million euro ($497 million) Ponzi scheme and sentenced to 10 years and eight months in prison. [read post]
27 May 2021, 10:23 am
The penalties associated with white-collar crimes can be severe. [read post]
20 Jun 2019, 6:53 am
A new (and perhaps final) chapter was added to the tale of ITT Educational Services, Inc. last week with the CFPB’s announcement that it had settled the lawsuit it filed against Student CU Connect CUSO, LLC (CU Connect), a special purpose entity company set up to fund, purchase, manage, and hold private student loans (CU Connect Loans) made to students enrolled in an ITT school. [read post]
16 Jul 2011, 1:41 pm
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINEComparable risk situations are all about us every day. [read post]
4 Oct 2022, 1:28 pm
NYPPEX, LLC, et al., (Disc. [read post]
4 Jul 2018, 11:33 am
When advisors convert or misappropriate funds they often created businesses or other vehicles to serve as a cover for the theft of funds. [read post]
27 Dec 2023, 6:09 pm
Independent Financial Group LLC Overview The White Law Group reviews the regulatory history of Independent Financial Group LLC. [read post]
2 May 2019, 6:32 pm
Given that hospital employees are paid essentially out of government healthcare and insurance funds, cases involving hospital officers and key employees are often prosecuted in a higher profile and federal manner than other types of businesses. [read post]
17 Jul 2019, 1:59 pm
The Association and St. [read post]
25 Apr 2012, 5:31 am
., an Associate in McNees Wallace & Nurick LLC's Labor and Employment Practice Group in Columbus, Ohio. [read post]
