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10 Oct 2017, 1:34 pm by Mark Astarita
  “We all are grateful that Walter re-entered public service after a distinguished career in the private sector, and his contributions to the Atlanta office and the Commission have been exemplary. [read post]
10 Oct 2017, 7:55 am by Adam Weinstein
” The providing of loans or selling of notes and other investments outside of a brokerage firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”. [read post]
10 Oct 2017, 4:42 am by SHG
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
9 Oct 2017, 6:09 am by Adam Weinstein
  Coachman and Kenworthy are believed to be involved with the following private placement investments: Bakken Drilling Fund III LP Bakken Drilling Fund IV LP Bakken Drilling Fund IVB LLC Coachman Energy Land II LLC Coachman Energy VI LP Coachman Energy VIB LLC Coachman Energy VII Offshore Feeder Fund LTD Coachman Energy VII Onshore Feeder Fund LP Brokerage firms that sell private placements have obligations to conduct due diligence on the investment… [read post]
8 Oct 2017, 7:03 am by Adam Weinstein
  From September 2009 until October 2013 Veron was associated with LPL Financial LLC. [read post]
7 Oct 2017, 11:32 am by Adam Weinstein
  According to BrokerCheck records, customers have filed about ten complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Regan Rohl (Rohl), a registered representative with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) out of the firm’s Fargo, North Dakota office location. [read post]
6 Oct 2017, 11:39 pm by Wolfgang Demino
Because the student loans on which the National Collegiate Trusts sues are private loans, however, limitations can be an important issue when it comes to collecting on them through lawsuits and defending against such legal actions. [read post]
6 Oct 2017, 6:09 am
Bout and Blaine Martin, Pay Governance LLC, on Friday, September 29, 2017 Tags: Boards of Directors, Compensation committees, Executive Compensation, Incentives, Institutional Investors, Management, Proxy advisors, Say on pay, Shareholder value, TSR Activism and Board Diversity Posted by David A. [read post]
5 Oct 2017, 5:20 pm by Wolfgang Demino
See graphic below:Many of the subprime borrowers to whom these private student loans were heavily marketed ultimately failed to produce the high yields on their high-margin-over-LIBOR loans. [read post]
5 Oct 2017, 8:05 am by John Elwood
(distributed June 14, 2017; relisted after the September 25 conference)   616 Croft Ave., LLC v. [read post]
5 Oct 2017, 4:21 am by Hon. Mark W. Bennett
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
5 Oct 2017, 4:11 am by Chris Seaton
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
4 Oct 2017, 9:34 am by Lebowitz & Mzhen
In any event, when a school bus driver is acting within the scope of his employment and causes an accident, the driver’s employer – whether public or private – may also be held accountable. [read post]
4 Oct 2017, 12:00 am by Carlos Kelly
Constitution, which requires “just compensation” if private property is taken for public use. [read post]
4 Oct 2017, 12:00 am by Carlos Kelly
Constitution, which requires “just compensation” if private property is taken for public use. [read post]