Search for: "Stanley A. August"
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11 Sep 2012, 6:23 pm
FINRA Fines Rodman & Renshaw $315,000 for Supervisory and Information Barrier Violations; Former Chief Compliance Officer and Two Research Analysts Sanctioned, FINRA, August 22, 2012 Two Investment Advisors Convicted in California of High Yield Investment Fraud, US DOJ, August 28, 2012 SEC v. [read post]
8 Nov 2021, 9:03 pm
Most domestic cases were reported in July and August. [read post]
18 Sep 2020, 8:19 am
After a widely disputed August 4 election in which Lukashenko won 80% of the vote, the dictator has witnessed protests of hundreds of thousands of people. [read post]
30 Nov 2022, 2:13 pm
”[19] The first corrective disclosure alleged by the plaintiff was Energy Transfer’s announcement during an earnings call on Thursday, August 9, 2018, that the company would only be able to meet the stated construction deadlines for one of its new pipelines through the temporary use of old 12-inch pipelines that were already in place, instead of the 20-inch pipelines called for in the plans.[20] Energy Transfer did not indicate how long the 12-inch pipeline would be… [read post]
10 Mar 2014, 10:55 am
In or about August 2011, Claimant, through its counsel, sent a letter to a number of nonparties who had received subpoenas in this arbitration pursuant to requests for them by Respondent. [read post]
30 Jan 2020, 10:49 am
Morgan Stanley – California – $150 million. [read post]
2 Sep 2021, 4:15 pm
August 19, 2021 Ms. [read post]
9 Jun 2016, 3:28 pm
Indeed, in August 2015, the Third Circuit in the Wyndham Worldwide case affirmed the FTC’s regulatory enforcement authority against companies failing to take appropriate action to protect consumer financial information. [read post]
12 Aug 2008, 2:00 pm
On Tuesday, August 19, 2008, PropertyShark.com is sponsoring a Manhattan real-estate networking event at The Madison & Gypsy Tea (27 West 24th Street). [read post]
9 Mar 2010, 1:30 pm
Moreover, we need to institute proceedings while the firm still has some working capital, instead of allowing management to drive until the tank is dry (see, Lehman, AIG, Morgan Stanley (almost), etc.). [read post]
27 May 2020, 7:48 am
Silver Law Group is familiar of multiple cases, including a Morgan Stanley broker who was accused of forging an institutional customer’s signature on loan documents. [read post]
2 Sep 2011, 2:40 pm
Needleman pleads guilty to tax evasion, resigns from bar – by Andy Marso After pleading guilty to tax evasion and structuring bank deposits to hide income, Stanley Needleman could face between 30 and 46 months of prison time under the deal he made with prosecutors. [read post]
12 Sep 2012, 6:00 am
Econbrowser: China’s Trade Surplus — Menzie Chinn breaks down the August trade numbers. [read post]
8 Jul 2019, 7:59 am
Prior to that, Heiden was reportedly affiliated with Morgan Stanley in Newport Beach, CA for six years. [read post]
5 Jul 2009, 10:44 pm
Grigg will be sentenced on August 6. [read post]
14 Jul 2010, 8:01 am
The August 2010 issue of the Journal of Intellectual Property Law & Practice (JIPLP) is now available online to subscribers, well ahead of the paper version. [read post]
27 Apr 2020, 4:33 am
Other defendants include Barclays, Citigroup, Credit Suisse, Deutsche Bank, Goldman Sachs, Morgan Stanley, Royal Bank of Scotland and Wells Fargo & Co, or their respective affiliates. [read post]
8 Sep 2022, 11:35 am
On August 29, Musk subpoenaed Zatko and requested “documents and communications on the company’s spam and alleged security vulnerabilities,” according to a Reuters article. [read post]
3 Oct 2019, 6:43 am
Morgan, Barclays, Goldman Sachs, Credit Suisse and Morgan Stanley. [read post]
14 Jan 2010, 12:04 pm
The sentence was meted out by US district court judge Stanley Chesler. [read post]
