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16 May 2019, 5:38 am
The findings stated that FINRA was investigating allegations of excessive trading and unsuitable recommendations involving the use of margin, whether Aziz attempted to settle a customer’s complaint away from his firm, and whether he used an undisclosed personal email account and text messages to conduct securities business, among other allegations. [read post]
15 May 2019, 4:26 pm
The security infrastructures of the two affiliated companies were found to be highly integrated. [read post]
15 May 2019, 3:45 pm
Jurors in Manhattan federal court today returned a verdict in the Securities and Exchange Commission’s favor against a brokerage firm and two of its executives.The SEC charged the brokerage firm, Portfolio Advisors Alliance Inc. [read post]
15 May 2019, 1:24 pm
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
15 May 2019, 11:44 am
Commissioner Peirce also discussed the SEC’s April 2019 digital asset framework and the TurnKey Jet, Inc. [read post]
15 May 2019, 11:23 am
[contact-form-7] Contact UsShow less Stephen Tadlock Discharged by Ameriprise Financial Services, Inc. [read post]
15 May 2019, 3:54 am
Pure Hemp Collective, Inc., No. 18-cv-1922-WJM-NYW (D. [read post]
14 May 2019, 3:00 pm
The Securities and Exchange Commission brought cases against two robo-advisers. [read post]
14 May 2019, 8:36 am
The company expects to use the $10 million in DIP financing to assist in providing enough liquidity to continue operating during the sale process. [read post]
14 May 2019, 8:15 am
" Cambodian Buddhist Soc. of Connecticut, Inc. v. [read post]
14 May 2019, 8:01 am
He could not say why the attorney who drafted the 1995 agreement used 'Company' for the Bass Brothers.Pointing to the definitions clause which specified that "'Company' means F.B.T. [read post]
14 May 2019, 12:00 am
TD Ameritrade, Inc. 889 F.3d 920 (8th Cir. [read post]
13 May 2019, 6:51 pm
Workers who believe they have been improperly classified as an independent contractor can use form 8919, Uncollected Social Security and Medicare Tax on Wages (downloads as a PDF) to figure and report the share of Social Security and Medicare taxes due. [read post]
13 May 2019, 12:01 pm
First, there isn’t any rule – or even any literature (at least to my knowledge) – that tells us whether and what to disclose in this situation. [read post]
13 May 2019, 5:51 am
Giant Eagle, Inc., 2018-0883. [read post]
13 May 2019, 3:00 am
It’s enough that there be some kind of obligation not to use the information – and the existence of “relationship of trust and confidence” with the source of the information will do the trick. [read post]
12 May 2019, 10:00 pm
Sony Electronics Inc., 2019 WL 1930756 (D.N.J. [read post]
12 May 2019, 3:15 am
Armslist https://t.co/UUTPCDp6d0 -further proof the section needs fixing 2019-05-08 Enforcement of restrictive covenant denied ADT Security Services Canada, Inc. v. [read post]
11 May 2019, 11:47 am
This was expected, given the Texas Supreme Court’s highly selective use of discretionary review and lack of interest in run-of-the-mill collection cases involving small amounts (here, about $4,000). [read post]
10 May 2019, 1:00 pm
To justify its use, the government has to show that any disclosure of the evidence — even disclosure limited to lawyers with security clearances — creates an unacceptable risk of harm to national security. [read post]
