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21 Sep 2018, 5:57 am
Coffey (CRD #4462225, Rochester, New York) Without admitting or denying the findings, Coffey consented to the sanction and to the entry of findings that he failed to respond to FINRA’s request for documents and information in connection with its investigation of promissory notes he sold to customers.Michael Quiles III (CRD #4351166, Commack, New York) An Offer of Settlement was issued in which Quiles was barred from association with any FINRA member in all… [read post]
20 Sep 2018, 10:30 am
Is the platform subject to, and registered under, banking regulations or a similar regime—for instance, the New York BitLicense regulations? [read post]
19 Sep 2018, 11:32 am
On September 14, 2018, New York State Department of Financial Services (“DFS”) Superintendent Maria T. [read post]
18 Sep 2018, 2:26 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
18 Sep 2018, 12:01 pm
Additional news, commentaries and statements on the Treaty are available here.This post includes my own preliminary thoughts about the Zero Draft. [read post]
18 Sep 2018, 11:53 am
She spent her 1L and 2L summers at the New York office of Kramer Levin. [read post]
18 Sep 2018, 10:00 am
Reference: The New York Times (March 22, 2018) “Life After Death? [read post]
17 Sep 2018, 9:10 am
Alternatively, the NYAG can refile its CFPA and state law claims in New York state court (although a state court might stay the case pending a decision by the Second Circuit in the CFPB’s appeal, particularly if the NY AG decides to appeal the dismissal of its claim brought under Dodd-Frank Section 1042. [read post]
17 Sep 2018, 6:00 am
This is somewhat limited in a number of states and cities, such as California, Colorado, Connecticut, the District of Columbia, Hawaii, Illinois, Maryland, Nevada, New York City, Oregon, Vermont, and Washington. [read post]
Repeat After Me: You May Not Expel a Member of a New York LLC Unless the Operating Agreement Says So
17 Sep 2018, 3:25 am
It’s that simple in New York. [read post]
16 Sep 2018, 4:10 pm
www.ipglegal.com Similar Posts: New York Partnership & Joint Venture Due Diligence Checklist Buying a Business in New York Revised New York Court Rule for Submitting Confidential Documents in Commercial Litigation in NY Protect Your NY Business From The Top 3 Risks To Your Confidential Information Winding Up Your New York Business: Essential Steps to Business Closure in New York Should I Purchase a… [read post]
16 Sep 2018, 12:56 pm
The New York Times: “Americans’ household earnings are finally stretching back to their pre-recession heights. [read post]
16 Sep 2018, 12:49 pm
Quartz: “On Sept. 15, 2008, a credit crunch turned into a full-blown crisis when New York-based investment bank Lehman Brothers collapsed. [read post]
14 Sep 2018, 4:14 pm
In the course of his plea, Manafort also admitted guilt on bank-fraud charges on which a federal jury in Virginia hung last month. [read post]
14 Sep 2018, 12:45 pm
The office of New York Attorney General Barbara Underwood recently alerted the public about a phishing scam in which someone was pretending to be her. [read post]
14 Sep 2018, 8:47 am
” In her June 11 order, Judge Preska also concluded that under New York law, the transactions at issue were disguised loans. [read post]
14 Sep 2018, 3:01 am
Duca, Cato Research Briefs in Economic Policy] Something to keep in mind in New York Attorney General races: “The Martin Act Gives New York Politicians Way Too Much National Power” [Jeff Patch, Real Clear Markets, and thanks for quotes] Through its Charities Bureau the New York AG’s office can also make life difficult for private nonprofits of whose ideology it disapproves; Democratic nominee Letitia (Tish) James says she… [read post]
13 Sep 2018, 1:32 pm
Michael Arroyo, 60, Bronx, New York, and Rafael Popoteur, 67, Ridgefield Park, New Jersey, a New York real estate broker and a Bergen County, New Jersey, homeowner were sentenced today for their respective roles in a $3.5 million scheme to use false information and simultaneous loan applications at multiple banks to fraudulently obtain home equity […] The post Duo Sentenced for Defrauding Banks in… [read post]
13 Sep 2018, 10:10 am
That lawsuit, which was filed in a New York federal district court, was dismissed in December, 2017 on similar grounds. [read post]
13 Sep 2018, 9:27 am
(CRD #2525) and SG Cowen Securities Corporation (CRD #7616) of New York, NY, and A. [read post]