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1 Jul 2015, 1:50 pm by Lax & Neville LLP
Leone (“Leone”) submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) to settle allegations made by the Financial Industry Regulatory Authority, Inc. [read post]
1 Oct 2018, 8:56 pm by Bill Marler
I took the time to fully read FDA Warning Letter sent to Kerry, Inc. [read post]
10 May 2021, 7:09 am by Iorio Altamirano
On Thursday, January 28, 2021, Robinhood designated specific stocks “position closing only,” meaning that customers could not purchase additional shares in those stocks. [read post]
19 Oct 2015, 5:56 pm by Cynthia Marcotte Stamer
Specifically, the complaint claims CHS violated employee rights by, among other things: maintaining rules that infringe… View original 1,941 more wordsFiled under: Uncategorized [read post]
18 Aug 2016, 2:54 pm by Malecki Law Team
Just this month, UBS Financial Services, Inc. submitted a Letter of Acceptance, Waiver and Consent No. 2013038351701 (AWC) that detailed a $250,000 fine for failures in supervision regarding sales of mutual fund shares to investors. [read post]
25 Mar 2010, 7:37 am by gstasiewicz
McKinley specifically seeks “supporting memos and other information” that the Board used to justify its decision. [read post]
1 Dec 2011, 11:43 am
Florida's Second District Court of Appeals recently took on this issue in Galencare, Inc. v. [read post]