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5 Jan 2011, 6:59 am
Nonetheless, the SEC appears poised to dig us into an even deeper ditch before thinking about an escape plan to get us out of this mess. [read post]
10 Apr 2012, 4:35 am
Written by Keturah Martin As yet another example of the Massachusetts Attorney General enforcing compliance with the Commonwealth’s data privacy and security laws, that office recently reached a $15,000 settlement in an enforcement action involving Maloney Properties, Inc. [read post]
2 Jan 2014, 7:33 am
Key was registered with PFS Investments, Inc. in Baton Rouge, Louisiana from June 2007 through May 2012. [read post]
25 Sep 2007, 1:04 pm
As the SEC enforces regulations governing the securities industry, CACI's EDD solutions help the SEC convert electronic documents into formats that SEC attorneys can use to prepare their legal cases. [read post]
19 Apr 2017, 4:38 am
ANZ Securities, Inc., which involves the rules for timely filing of securities class actions. [read post]
3 Apr 2017, 2:22 pm
Cir.2015); Aspex Eyewear, Inc. v. [read post]
22 May 2012, 3:44 pm
As to related litigation, SI Group states that on November 26, 2008, it contacted the Shanghai Public Security Bureau (the “PSB”) to initiate a criminal investigation against Xu. [read post]
13 Dec 2019, 11:58 am
The client was mad, hung up & called us back telling us to ‘Just get it done. [read post]
21 Jul 2020, 12:45 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
20 Jun 2011, 5:58 pm
Morgan Stanley Smith Barney, Justia, June 14, 2011 More Blog Posts: MBIA Can Sue Morgan Stanley Over Alleged Misrepresentation of MBS Risks, Says US New York Supreme Court, Institutional Investor Securities Blog, June 14, 2011 Morgan Stanley & Co. and TD Ameritrade Inc. to Repurchase Over $338M in Auction Rate Securities from New Jersey Investors, Institutional Investor Securities Blog, May 4, 2011 Ex-Morgan Stanley Trader to Settle SEC… [read post]
3 Apr 2017, 8:54 am
Prior interest or experience in the area of victims' issues would be useful but is not required. [read post]
4 Oct 2023, 7:29 am
(April 12, 2018) Karen McDougal, American Media Inc. [read post]
19 Nov 2017, 5:45 am
Google Inc., 2015 BCCA 265. [read post]
2 Oct 2014, 3:44 pm
In Part 1 and Part 2 of this article, we discussed the requirements for exemption from registration of securities under the Securities Act of 1933 and exemption from registration as a securities broker-dealer under the Securities Exchange Act of 1934. [read post]
20 Aug 2021, 4:00 am
DeJoy’s financial adviser purchased the bonds on the open market, Postal Service spokesperson Jeffrey Adams said, and Bloom manages a division separate from the one that sells public securities. [read post]
7 Nov 2008, 4:11 am
The selection patent allowed the company to secure a second 17-year window to sell its drug without competition from generic companies.IMS Health Canada, a health data group, ranked Plavix 21st on its list of 50 best-selling drugs in Canada last year.Apotex unsuccessfully argued that selection patents amount to double patenting and a form of "evergreening" - seeking to extend patents indefinitely by making minor changes to a product rather than coming up with a new invention. [read post]
17 Oct 2009, 4:49 am
Tell us about your situation by leaving a message in the Comment Box below or via the Contact Us form. [read post]
8 Dec 2023, 11:11 am
(CRD#:17499), PANAMA CITY, FL B, 04/07/2010 – 01/07/2013, HANCOCK INVESTMENT SERVICES, INC. [read post]
26 Oct 2018, 12:44 pm
The Orders allege that AEGON USA Investment Management LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc., marketed various products and investment strategies that used a “proprietary quant model” while failing to verify whether the models functioned as intended and without disclosing known risks connected with the models. [read post]
30 Nov 2011, 1:02 pm
Last year Yale testified in a suit in which an investor was awarded of $1.2 million in damages and legal fees against Securities America Inc. and an affiliated broker. [read post]
