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1 Nov 2020, 8:47 pm
Subject matter eligibility is a fundamental requirement for an invention to be patentable. [read post]
15 Sep 2020, 9:19 am
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator (BrokeAndBroker.com Blog)SEC Brings Charges Against Clean Water Project Founder for Defrauding Investors (SEC Release)Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference (Speech by SEC Commissioner Allison Herren Lee)FINRA Arbitrator Recommends Expungement of Customer Complaint Prompted by Family DisputeIn the Matter… [read post]
18 Oct 2010, 5:39 am
Yesterday, my Mother called to say that she had seen Ron Safer interviewed on a Sunday morning program about a local legal matter. [read post]
7 Oct 2017, 8:15 pm
Strafford will be offering a webcast entitled "Drug Substance Patents: FDA Guidance, Protecting Composition-of-Matter Patents, Drafting Solid Form Claims" on October 26, 2017 from 1:00 to 2:30 pm (EDT). [read post]
27 Apr 2014, 8:24 pm
Strafford will be offering a webinar/teleconference entitled "Patent Subject Matter Eligibility: Navigating the New 'Myriad' Guidelines -- Analyzing Subject Matter and Avoiding Rejection Under the USPTO's Detailed Framework" on May 15, 2014 from 1:00 to 2:30 pm (EDT). [read post]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD mistakenly told… [read post]
23 Oct 2020, 3:31 am
PeirceSEC Obtains Final Judgment Against Participant in Market Manipulation Scheme (SEC Release)FINRA Fines and Suspends Rep In Response to Son's PST and Personal EmailsIn the Matter of Norman Stanley Batansky, Respondent (FINRA AWC)FINRA Bars Rep In Response to Complaints Via FINRA's Senior HelplineIn the Matter of Cynthia Diane Cowden, Respondent (FINRA AWC)JP Morgan Securities Whiffs In FIN... [read post]
1 Jun 2020, 2:04 am
In the Matter of Donald G. [read post]
17 Jun 2021, 3:25 am
Roisman to the National Investor Relations Institute /2021 Virtual Conference)FINRA Fines and Suspends Rep for Using Correction FluidIn the Matter of Robert Brandon Prettyman, Respondent (FINRA AWC)FINRA Fines and Suspends Rep for Falsifying 22 Variable Annuities FormsIn the Matter of Eric P. [read post]
11 Dec 2020, 7:08 am
In the Matter of Robinhood Financial, LLC, Respondent (Administrative Complaint, Commonwealth of Massachusetts)A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine (BrokeAndBroker.com Blog)Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges (SEC Release)FINRA Small Firm Advisory Committee: Carrie WisniewskiFINRA Small Firm Member on National Adjudicatory Council: Robert… [read post]
15 May 2020, 4:55 am
Earlier This Year (DOJ Release)Stockbroker Fined and Suspended for Emailing Confidential/Proprietary InformationIn the Matter of Brandon Rolle, Respondent (FINRA AWC)Stockbroker Fined and Suspended for Private Securities TransactionIn the Matter of Jason N. [read post]
13 Jan 2008, 3:38 am
James R. [read post]
22 Apr 2010, 8:09 am
By David R. [read post]
8 Mar 2012, 2:55 pm
On March 6, 2012, ALJ Theodore R. [read post]
24 May 2011, 9:23 am
In a letter to SEC Chair Mary Schapiro, the Senator also asked if the SEC ever drafted a Wells Notice with regard to the hedge fund related to any of these referrals or related to any other matter and, if so, to provide a copy of any draft or final Wells Notice. [read post]
28 Apr 2022, 8:55 am
Cass R. [read post]
24 Aug 2023, 5:19 pm
They describe an investigation that was anything but the "routine" matter described by congressional Democrats in seeking to block House investigations.What followed has bordered on the burlesque. [read post]
19 Jun 2007, 9:01 pm
You said there is another case not Usana near resolution like the matter today. [read post]
27 Sep 2011, 3:15 pm
Charles Boustany (R-LA) asked that the IRS suspend a proposed regulation requiring banks to disclose interest paid to non-resident aliens. [read post]
