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19 Apr 2022, 10:11 am
His previous employers include First Midwest Securities, Inc. [read post]
4 Oct 2020, 12:46 pm
In March 2020, the Securities Division of the State of Washington filed a complaint against Hannes alleging that from approximately 2003 to 2019, Hannes engaged in an extensive, long-term fraud against his Woodbury Financial clients by convincing them to write checks to Hannes Financial Services, Inc. for off-the-books investments and then used the money for other purposes. [read post]
29 Mar 2007, 5:51 am
Relying on Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
18 Nov 2010, 8:04 pm
Whether or not the use of general offences of cheating and conspiracy to offerings of corporate securities would enure to the benefit of the complainant or the respondent remains to be seen. [read post]
3 Mar 2022, 7:46 am
According to his broker report, DeGregorio, was reportedly affiliated with 14 firms in 14 years, including the following: 08/26/2016 – 02/24/2017, GARDEN STATE SECURITIES, INC. [read post]
2 Aug 2021, 1:49 pm
Its predecessor was the National Association of Securities Dealers, Inc. [read post]
22 May 2020, 8:19 am
Plaintiff Aaron Rubenstein is a shareholder in AdTalem Global Education Services (f/k/a DeVry Global Education Group, Inc.). [read post]
23 Apr 2019, 2:13 am
FINRA was investigating allegations of Aziz’s alleged excessive trading and unsuitable recommendations involving the use of margin, whether Aziz attempted to settle a customer’s complaint away from his firm, and whether he used an undisclosed personal email account and text messages to conduct securities business, among other allegations, FINRA notes. [read post]
6 Jan 2012, 3:35 pm
In some cases, the information collected included credit card and financial account numbers, user names and passwords used to access secured websites, security codes and expiration dates, and any Social Security numbers consumers entered into the webpages. [read post]
20 Nov 2015, 8:00 am
Securities sold under Regulation A+ are not restricted securities and can be freely sold by non-affiliates. [read post]
20 Nov 2015, 8:00 am
Securities sold under Regulation A+ are not restricted securities and can be freely sold by non-affiliates. [read post]
13 Aug 2014, 12:53 pm
As the devices we use every day become smarter, they become far more useful. [read post]
19 May 2008, 4:03 pm
While the Register's opinion makes clear that mere excerpts of a preexisting sound recording for use as a ringtone falls squarely within the scope of the compulsory license of Section 115, care should be taken if the ringtone will modify and/or add to the underlying musical work because it then may not qualify for the compulsory license under Section 115 of the Copyright Act and a voluntary license from the copyright owner would need to be secured. [read post]
9 Nov 2010, 7:07 am
If there are representational avatars instead of real naked people — a software fix devised by scanner makers L-3 Communications Holdings Inc. and OSI Systems Inc. [read post]
19 May 2009, 4:10 am
Segal, Inc., C.A.No. 3017-CC (May 15, 2009), read opinion here. [read post]
19 May 2017, 6:00 am
One way to make this assessment is to look at the use “from the point of view of the reasonable copyright owner,” which is the approach the Supreme Court identified in Harper & Row Publishers, Inc. v. [read post]
19 May 2017, 6:00 am
One way to make this assessment is to look at the use “from the point of view of the reasonable copyright owner,” which is the approach the Supreme Court identified in Harper & Row Publishers, Inc. v. [read post]
19 May 2017, 6:00 am
One way to make this assessment is to look at the use “from the point of view of the reasonable copyright owner,” which is the approach the Supreme Court identified in Harper & Row Publishers, Inc. v. [read post]
6 Jun 2021, 7:01 am
However, efforts to use bodies such as the Securities and Exchange Commission can create unexpected problems. [read post]
10 Jan 2014, 9:00 am
(The same story does note that drug use at the workplace has been on the decline for a decade, and that marijuana use accounted for just 2% of positive tests in 2012.) [read post]
