Search for: "Cooper Industries, LLC"
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19 May 2014, 4:42 am
The Financial Industry Regulatory Authority (FINRA) recently barred LPL Financial, LLC (LPL) broker Reniero Francisco (Francisco) concerning allegations that the broker failed to cooperate with FINRA’s investigation of Francisco’s involvement with Arista LLC, a registered Commodity Pool Operator (CPO) with its principal place of business in Newport Coast, California. [read post]
13 May 2014, 7:38 am
The findings stated that Zeng informed FINRA that he would not cooperate with FINRA’s requests for testimony and documents in connection with this matter. [read post]
23 Apr 2014, 8:50 am
LLC. v. [read post]
14 Apr 2014, 3:04 am
Housing cooperatives, or “co-ops” as they’re commonly known, occupy an unusual niche among forms of joint stock enterprises. [read post]
13 Apr 2014, 8:59 am
I had the pleasure of speaking at the CIGI/Institute for New Economic Thinking, Toronto 2014 Conference called Human After All. [read post]
9 Mar 2014, 5:31 am
Let’s hear it for the entertainment industry! [read post]
7 Mar 2014, 6:47 am
FMR LLC, resolving a dispute over the scope of the whistleblower provision of the Sarbanes-Oxley Act, 15 U.S.C. [read post]
14 Feb 2014, 12:00 pm
Hoosier Energy Rural Electric Cooperative, Inc. v. [read post]
15 Jan 2014, 8:22 am
Following is Part 2 of my third annual list of the top 10 e-discovery developments and trends from the past year. [read post]
20 Dec 2013, 7:59 am
Initially, Kauffman cooperated with the examination by providing some information and documents. [read post]
HFP Capital Markets’ Employees Sanctioned Over Metals Millings and Mining Private Placement Offering
18 Dec 2013, 6:01 am
Advisor Thomas Mikolasko, (Mikolasko) of HFP Capital Markets LLC (HFP) was recently suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Mikolasko engaged in the sale of $3 million in Senior Secured Zero Coupon Notes sold to 58 customers of HFP for Metals Millings and Mining LLC (MMM) in a private placement offering. [read post]
22 Nov 2013, 12:41 pm
This leaves industry participants pondering what further action the SEC would have taken against Herckis had he not cooperated and what the value of a deferred prosecution agreement might really be. [read post]
17 Oct 2013, 5:00 am
For some reason, we recently found ourselves comparing our favorite defenses to our favorite rock bands. [read post]
15 Oct 2013, 5:45 am
Solaia Tech., LLC v. [read post]
13 Oct 2013, 10:01 pm
Representatives within the food testing industry see accreditation requirements as a logical development, said Robin Stombler, president of Auburn Health Strategies, LLC, and director of the Food Laboratory Alliance, a coalition of organizations focused on improving the quality of food lab testing. [read post]
10 Oct 2013, 8:42 am
Eight of the largest settlements involve fraud in the health care industry. [read post]
7 Oct 2013, 6:44 am
By Deborah Hammonds, J.D. and Pamela Wolf, J.D. [read post]
23 Sep 2013, 3:03 pm
Prior to CUSO, Bautista was associated with SWBC Investment Services, LLC, Financial Network Investment Corporation, and Wells Fargo Investments, LLC. [read post]
5 Sep 2013, 5:58 am
Finally, from December 5, 2005, until June 30, 2011, Kmetz was associated with Park Avenue Securities, LLC (Park Avenue). [read post]
11 Jul 2013, 10:31 am
The charging documents indicate that various developers in the scheme, including but not limited to CONGLETON, operating through Triple R Enterprises, LLC; HERNDON, operating through Herndon & Herndon Enterprises, LLC; HALL, operating through Dwayne T. [read post]
