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9 Nov 2018, 9:17 am
§§ 34:21-2(b), 34:21-6. [read post]
8 Nov 2018, 2:31 pm
Haitian Centers Council, Inc., 509 U.S. 155 (1993). [read post]
6 Nov 2018, 10:56 am
§630(b). [read post]
30 Oct 2018, 8:04 am
Free Consultation with a Securities Attorney If you suffered losses investing in American Finance Trust, the securities attorneys at The White Law Group may be able to help you. [read post]
30 Oct 2018, 2:00 am
’” Lamps Plus Inc. v. [read post]
24 Oct 2018, 4:33 pm
In the following guest post, John Reed Stark, President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement, takes a look at the SEC’s track record in this area and calls for the agency to reinforce its efforts to police outsider trading. [read post]
15 Oct 2018, 7:05 am
This week the Court released the calendar for arguments at the end of November and into December these cases are: Apple, Inc. v. [read post]
27 Sep 2018, 7:10 am
See 42 U.S.C. 9622(b)(3). [read post]
20 Sep 2018, 12:46 pm
An Extended Hearing Panel found Ottimo to have committed the violations, and assessed a $25,000.00 fine and two-year suspension; however, sanctions were not imposed in light of Ottimo being barred by the Extended Hearing Panel for a more serious act: committing securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5. [read post]
19 Sep 2018, 1:26 pm
Inc. [read post]
7 Sep 2018, 6:57 am
Sova has outside business disclosures including Sova Financial Group – his investment d/b/a. [read post]
6 Sep 2018, 9:40 am
Free Consultation with a Securities Attorney The foregoing information, which is all publicly available, is being provided by The White Law Group. [read post]
5 Sep 2018, 4:51 pm
I have seen security of costs used as both a sword and shield. [read post]
27 Aug 2018, 3:41 pm
LIBOR FIX 2 TEXAS STYLE? [read post]
24 Aug 2018, 9:06 am
From November 2009 to June 2012, Roveccio was registered with Brookstone Securities, Inc., which is currently expelled by the FINRA. [read post]
23 Aug 2018, 6:52 pm
According to at least one reported study, 75 percent of workers who complained of sexual harassment reported experiencing retaliation as a result.[5] Recognizing that sexual harassment is underreported, the EEOC estimates that one in four people (both women and men) experience sexual harassment in the workplace.[6] B. [read post]
23 Aug 2018, 5:13 am
Our consultations are free of charge and the firm is only compensated if you recover. [read post]
20 Aug 2018, 1:40 pm
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, or Fined by FINRANewport Coast Securities, Inc. and Douglas Anthony Leone The firm appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
10 Aug 2018, 6:11 am
Posted by Sean Barry, Equilar, Inc., on Thursday, August 9, 2018 Tags: Board dynamics, Board oversight, Board performance, Boards of Directors, Director qualifications, Management, Overboarding, Tech companies Cash America and the Structure of Bondholder Remedies Posted by Marcel Kahan (NYU) and Mitu Gulati (Duke University), on Thursday, August 9, 2018 Tags: Bondholders, Bonds, Covenants, Debt… [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Boards of Directors, Proxy advisors, Proxy voting, Securities regulation, Shareholder proposals, Shareholder voting, Transparency Dissecting C-Suite Gender Pay Disparity Posted by Lyla Qureshi, Equilar, Inc., on Wednesday, August 1, 2018 Tags: Compensation disclosure, Compensation ratios, Diversity, Executive… [read post]
