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14 Jun 2018, 7:29 am
Northeast Securities Inc. [read post]
11 Jun 2018, 10:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Brian Travers (Travers), operating under the d/b/a Travers and Associates, Inc., in December 2017, was barred from the financial industry by FINRA concerning allegations that he engaged in private securities transactions. [read post]
Advisor Neil Fineman Barred By Regulator For Selling $2.5 Million in Private Securities Transactions
9 Jun 2018, 1:03 pm
From July 2007 until October 2013, Fineman was associated with Regal Securities, Inc. [read post]
28 May 2018, 12:19 pm
Here’s one, taken from the recent Virginia case of Update, Inc. v. [read post]
28 May 2018, 12:19 pm
Here’s one, taken from the recent Virginia case of Update, Inc. v. [read post]
25 May 2018, 6:10 am
., on Friday, May 18, 2018 Tags: Board evaluation, Board performance, Boards of Directors, Firm performance, Shareholder value Cryptocurrency Compensation: A Primer on Token-Based Awards Posted by Alfredo B. [read post]
11 May 2018, 3:22 am
Accordingly, $6,900 now is the annual limitation on deductions under section 223(b)(2)(B) for an individual with family coverage under an HDHP for calendar year 2018. [read post]
10 May 2018, 3:33 pm
In the following guest post, John Reed Stark, President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement, provides his detailed report of the court hearing as well as his perspective on the topics under discussion. [read post]
16 Apr 2018, 4:48 pm
Securities and Exchange Commission (SEC) charged two co-founders of Centra Tech, Inc., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
13 Apr 2018, 12:18 pm
For a free consultation with a securities attorney, please call (888) 637-5510. [read post]
12 Apr 2018, 7:42 pm
Gives WHD enforcement authority in FLSA sections 16(b) and 16(c) to, among other things, recover all tips unlawfully kept by the employer, in addition to an equal amount in liquidated damages. [read post]
12 Apr 2018, 7:01 pm
The Labor Department also says employee misclassification also generates substantial losses to state and federal treasuries, and to the Social Security and Medicare funds, as well as to state unemployment insurance and workers compensation funds. [read post]
6 Apr 2018, 6:08 am
Pritchard (University of Michigan) and Robert B. [read post]
4 Apr 2018, 11:28 am
The public statement lists considerations for market participants operating online trading platforms, encourages those market participants to consult with legal counsel, and to contact SEC staff for assistance in analyzing and applying the federal securities laws. [read post]
2 Apr 2018, 4:03 pm
In the following guest post, David Fontaine, CEO of Kroll, Inc. and its parent, Corporate Risk Holdings, and John Reed Stark, President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement, take a look at the SEC’s guidance, with a particular focus on what the agency’s statement has to say about the duties of corporate directors. [read post]
2 Apr 2018, 7:12 am
Upon consultation with Mr. [read post]
27 Mar 2018, 5:02 pm
§ 157(b)(1).III. [read post]
7 Mar 2018, 10:30 am
Previous registrations include Radner Research & Trading Company LLC, First Merger Capital, LLC and Seaboard Securities, Inc., which has been expelled by FINRA. [read post]
27 Feb 2018, 9:06 pm
Specifically, imagine a transaction in which funds are moving from A to D, but go through intermediary financial institutions B and C: A-->B-->C-->D. [read post]
23 Feb 2018, 10:00 am
The government therefore concludes Kaspersky has no standing to bring its suit. b. [read post]
