Search for: "Cooper Financial, LLC"
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22 Nov 2014, 2:01 pm
Plaintiff goes on to explain that she relocated to the Philadelphia area after September 30th because I obtained a job more suited to my financial and professional needs in the Philadelphia area. [read post]
28 Jan 2019, 11:42 am
Such remedial measures and cooperation, although reasonable and appropriate, did not convince the SEC to walk away from enforcement. [read post]
16 Mar 2018, 4:10 am
Companies Should Prepare for the GDPR — via Financial Services Employment Law A Dozen C-Suite Takeaways from the 2018 SEC Cyber-Disclosure Guidance — via The D & O Diary HR & Employee RelationsYou’re Fired! [read post]
25 Feb 2008, 3:30 am
Section 702 of the LLC Law authorizes judicial dissolution of LLCs "whenever it is not reasonably practicable to carry on the business in conformity with the articles of organization or operating agreement". [read post]
21 Sep 2023, 9:01 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Susan Block-Lieb, the Cooper Family Chair of Urban Legal Issues at Fordham Law School, argued against criticism that the Consumer Financial Protection Bureau lacks accountability due to its regulatory and financial independence and single-director leadership. [read post]
15 Jul 2010, 2:59 pm
Its marketing circular said the reference portfolio was “selected by” the independent firm, ACA Management LLC, when in fact Paulson & Co. [read post]
28 Feb 2012, 12:00 pm
John Kinnucan, of Broadband Research LLC, has been in custody since his arrest in Portland on Feb. 16. [read post]
15 Sep 2012, 10:02 am
Bankruptcy Assistance: any goods or services sold or otherwise provided to an assisted person with the express or implied purpose of providing information, advice, counsel, document preparation, or filing, or attendance at a creditors' meeting or appearing in a case or proceeding on behalf of another or providing legal representation with respect to a case or proceeding under this title.Claim: right to a payment, whether or not such a right is reduced to judgment, liquidated,… [read post]
13 May 2014, 7:38 am
The findings stated that Zeng informed FINRA that he would not cooperate with FINRA’s requests for testimony and documents in connection with this matter. [read post]
14 Sep 2007, 1:20 am
LLC v. [read post]
3 Jun 2016, 6:40 am
SAP (scope of CBM review); Cooper v. [read post]
12 Jan 2024, 5:48 am
RDx and Leykin have agreed to cooperate with the Justice Department’s investigations of, and litigation against, other participants in the alleged schemes [read post]
31 Aug 2016, 6:00 am
Thus, the SEC contends, the disclosures in the funds’ financial statements regarding the interest were materially misleading. [read post]
16 Nov 2023, 9:04 am
Retaining Experienced SEC Whistleblower Attorneys SEC whistleblowers help everyone by notifying the SEC of conduct that harms the investing public, while also earning financial compensation for themselves. [read post]
30 Oct 2019, 5:22 pm
The next day, on October 2, 2019, the CFTC announced it was settling charges against interdealer brokers BGC Financial, LP and GFI Securities, LLC for spoofing in the financial futures market. [read post]
30 Oct 2019, 5:22 pm
The next day, on October 2, 2019, the CFTC announced it was settling charges against interdealer brokers BGC Financial, LP and GFI Securities, LLC for spoofing in the financial futures market. [read post]
3 Jul 2015, 6:20 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
18 May 2016, 8:19 am
The court was scheduled to discuss Cooper v. [read post]
15 Jun 2012, 8:00 am
In addition to Consumer Advocates Group Experts, LLC and Zimmerman, the complaint names Paramount Asset Management Corporation and Advocates for Consumer Affairs Expert, LLC, as defendants in this case. [read post]
28 Apr 2021, 6:30 am
Author Michael Stack, CEO Amaxx LLC. [read post]
