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12 Jan 2011, 8:00 am
For example, in 2004 Janus Capital Management LLC (“JCM”), a wholly-owned subsidiary of Janus Capital Group, Inc. [read post]
12 Jan 2011, 5:00 am
A mutual fund is a pool of money and securities. [read post]
12 Jan 2011, 2:19 am
© 2011 Simple Justice NY LLC. [read post]
11 Jan 2011, 8:00 am
And, as detailed below, were compensated through a $100 million settlement entered into between JCM and the Securities and Exchange Commission. [read post]
11 Jan 2011, 5:00 am
Market-timing is related, but slightly different from late trading. [read post]
10 Jan 2011, 7:07 am
Johnson, Robert Casey Hall along with Novus Technologies, LLC and RCH2, LLC for an offering fraud involving the sale of short term promissory notes and joint venture agreements to at least 50 investors. [read post]
10 Jan 2011, 3:20 am
(Chicago IP Litigation Blog) N D Ohio: Damages award exceeding stipulated 4% royalty rate was not excessive: Bendix Commercial Vehicle Systems LLC, et. al. v. [read post]
10 Jan 2011, 1:16 am
(f/k/a Chesapeake Corporation (D.C.)) (7684)Canal Corporation (Illinois) (f/k/a Chesapeake Corporation (Illinois)) (7685)Canal Corporation (Louisiana) (f/k/a Chesapeake Corporation (Louisiana)) (7681)Canal FP Company, LLC (f/k/a Chesapeake Forest Products Company, LLC) (6880)Canal DE Company (f/k/a Cary St. [read post]
8 Jan 2011, 7:23 am
Patent No. 5,623,601 entitled APPARATUS AND METHOD FOR PROVIDING A SECURE GATEWAY FOR COMMUNICATION AND DATA EXCHANGES BETWEEN NETWORKS and owned by Network Protection Sci., LLC. [read post]
8 Jan 2011, 7:23 am
Patent No. 5,623,601 entitled APPARATUS AND METHOD FOR PROVIDING A SECURE GATEWAY FOR COMMUNICATION AND DATA EXCHANGES BETWEEN NETWORKS and owned by Network Protection Sci., LLC. [read post]
7 Jan 2011, 2:12 pm
The Eleventh Circuit thus aligned itself with the Seventh Circuit, which in Int’l Airport Centers, LLC v. [read post]
7 Jan 2011, 6:13 am
Madoff Investment Securities LLC. [read post]
5 Jan 2011, 11:26 am
However, the North American Securities Administrators Association (NASAA), which represents the securities commissioners of the 50 states, has stated that an SRO is neither necessary nor a good idea as the state securities commissioners and the SEC can collectively regulate the investment adviser industry in a more efficient manner than an SRO. [read post]
5 Jan 2011, 1:11 am
Taking positions on important issues internationally is a valuable counter-balance to the influence of computer industry trade associations, and I hope OSI will keep doing it. [read post]
4 Jan 2011, 4:08 pm
" In re Seagate Tech., LLC, 497 F.3d 1360, 1371 (Fed. [read post]
31 Dec 2010, 8:41 pm
Wedbush Securities Inc. was censured and fined $28,000 in connection with stating incorrect written information to its customers, in that the firm failed to provide written notification disclosing its correct capacity in transactions to its customer; when it acted as principal for its own account, failed to provide written notification disclosing the correct reported trade price to its customer; and failed to provide written notification disclosing to its customer its correct… [read post]
30 Dec 2010, 9:11 am
" CW-1, who has pleaded guilty to conspiracy and securities fraud, took notes of conversations with Jiau on computer files that the FBI seized on Nov. 12, along with digital recorder CC-1 used to tape calls with Jiau, the complaint said. [read post]
28 Dec 2010, 2:11 pm
LLC; Arrow Fund, LLC; Arrow Fund II, LLC; Conservium Fund, LLC; Nerium Currency Fund, LLC; Senior Strength Q Fund, LLC; SSecurity Fund, LLC; Three Oaks Advanced Fund, LLC; Three Oaks Currency Fund, LP; Three Oaks Fund, LP; Three Oaks Fund 25, LLC; Three Oaks Senior Strength Fund, LLC; and USFirst Fund, LLC. [read post]
28 Dec 2010, 10:41 am
Securities America. [read post]
27 Dec 2010, 12:31 pm
Lincoln Financial Securities and Premier Advisor Group LLC are not affiliated entities. [read post]
