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29 Oct 2021, 8:14 am
Securities and Exchange Commission (SEC) charged CanaFarma Hemp Products Corp. [read post]
28 Oct 2021, 3:30 pm
The Securities and Exchange Commission this week secured court approval of a $38.8 million settlement with music streaming business Akazoo S.A. [read post]
28 Oct 2021, 5:01 am
Despite investing significant resources and political capital to operate in China, LinkedIn never managed to win significant market share against local competitors. [read post]
25 Oct 2021, 1:20 pm
Wednesday, October 27, 2021, at 2:30 p.m.: The Senate Foreign Relations Subcommittee on Europe and Regional Security Cooperation will hold a hearing on reviving U.S. security policy toward the Black Sea region. [read post]
25 Oct 2021, 7:20 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Johnny Guan (Guan), currently employed by Aegis Capital Corp. [read post]
23 Oct 2021, 6:32 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6131/securities-industry-commentator/Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To (BrokeAndBroker.com Blog)SEC Charges Fixed Income Clearing Corp. [read post]
21 Oct 2021, 6:35 am
“Staff believes that hedge funds broadly were not significantly affected by investments in GME and other meme stocks,” said the report. [read post]
19 Oct 2021, 10:39 am
” In August, the SEC also released a request for public comment regarding broker-dealer and investment adviser digital engagement practices, as well as investment adviser use of technology information to provide advice on investments. [read post]
19 Oct 2021, 7:41 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
18 Oct 2021, 1:23 am
CION Investment Corp. [read post]
15 Oct 2021, 9:54 am
MORGAN SECURITIES LLC (CRD#:79), BROOKLYN, NY09/01/2011 – 10/01/2012, CHASE INVESTMENT SERVICES CORP. [read post]
15 Oct 2021, 4:00 am
Arizona – Lawmaker Takes Aim at Corp Comm Policy on Campaign Contributions by Utilities Arizona Mirror – Jeremy Duda | Published: 10/11/2021 Attorneys for the Arizona Legislature believe a Corporation Commission policy intended to restrict campaign contributions by regulated utilities violates the state constitution, and the lawmaker who requested that opinion is hoping it will persuade the commission to change course for next year’s election. [read post]
11 Oct 2021, 11:10 am
Marine Corps; Jeremy Butler, chief executive officer of Iraq and Afghanistan Veterans of America; Dr. [read post]
FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction
7 Oct 2021, 12:31 pm
He was previously employed with Investors Capital Corp. [read post]
3 Oct 2021, 7:01 am
Rand Corp. [read post]
1 Oct 2021, 8:52 am
(Charts 1 and 2) The investment pulse rate for the three months of Q3 2021 is the same as the investment pulse rate in Q3 2020. [read post]
1 Oct 2021, 8:47 am
” Visa, in turn, said its payments are secure and that hacks of this sort aren’t likely to happen outside of a lab. [read post]
1 Oct 2021, 8:47 am
” Visa, in turn, said its payments are secure and that hacks of this sort aren’t likely to happen outside of a lab. [read post]
1 Oct 2021, 4:00 am
National/Federal As Districts Grow More Diverse, Congressional Outreach Does Too MSN – Michael Macagnone (Roll Call) | Published: 9/30/2021 Over the past decade, U.S. [read post]
30 Sep 2021, 12:49 pm
As discussed here, in June 2021, the court in the securities suit filed against Carnival Corp. was granted. [read post]
