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30 Apr 2019, 1:28 pm by Staff Attorney
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
30 Apr 2019, 1:28 pm by Staff Attorney
Advisor William Gordan (Gordan), currently employed by Capital Financial Services, Inc. [read post]
30 Apr 2019, 12:26 pm by admin
Cornide Jr. has been registered with UBS Financial Services Inc. in Coral Gables, FL since May 11, 2004, FINRA reports. [read post]
30 Apr 2019, 11:18 am by Howard Iken
Humphrey was the Executive Director of LIFT3 Support Group Inc. and investigators say she used over $70,000 for shopping, travel, and buying family gifts. [read post]
30 Apr 2019, 10:23 am by Cynthia Marcotte Stamer
Health plans must deliver electronic protected health information (“ePHI”) to electronic applications or software (“apps”) used by plan members, and are responsible under the Health Insurance Portability & Accountability Act (“HIPAA”) Privacy and Security Rules for the security of electronic protected health information (“ePHI”) on apps they sponsor or provide, according to new guidance from the Department of Health &… [read post]
30 Apr 2019, 7:40 am by zamansky
” “Labyrinthine” is not the type of word most Mom and Pop investors want to use when describing their bond portfolios. [read post]
29 Apr 2019, 6:23 pm by Stewart Baker
We dive right into the recent activity from the SEC, namely, the Framework for “Investment Contract” Analysis of Digital Assets and the No-Action Letter issued to TurnKey Jet, Inc. [read post]
29 Apr 2019, 4:39 pm by Stewart Baker
We dive right into the recent activity from the SEC, namely, the Framework for "Investment Contract" Analysis of Digital Assets and the No-Action Letter issued to TurnKey Jet, Inc. [read post]
29 Apr 2019, 1:29 pm by Daily Record Staff
Rockville-based Vigene Biosciences Inc. a provider of viral vector products and services used in gene therapy, has completed a substantial growth capital financing transaction with Signet Healthcare Partners (“Signet”), a New York-based growth equity firm specializing in health care investments. [read post]
29 Apr 2019, 1:06 pm by Michael S. Levine
The Hunton Andrews Kurth insurance recovery team secured a victory for firm client, The Children’s Place (“TCP”), obtaining a ruling from a New Jersey federal court in The Children’s Place, Inc. v. [read post]
29 Apr 2019, 7:21 am by Cynthia Marcotte Stamer
In Metalcraft of Mayville, Inc., a Board Majority made up of Board Chairman John Ring and Board member William Emmanuel ruled found that the Wisconsin based employer Metalcraft of Mayville, Inc. [read post]
26 Apr 2019, 6:36 am by Malecki Law Team
Mireau should have sought written approval for using the borrowed money in a private securities transaction under NASD Rule 3040. [read post]
26 Apr 2019, 3:59 am by Edith Roberts
Varjabedian, which asked whether securities investors can sue a company for negligently failing to provide adequate information for the investors to use in evaluating the price of a tender offer. [read post]
25 Apr 2019, 11:56 am by Silver Law Group
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Boj, Pedro   UBS Financial Services Inc   BBVA Securities of PR   Brooks, Carter   Wells Fargo Clearing Services LLC   Edward Jones   Lofaro, Patrick   Rockwell Global Capital LLC   Dalton Strategic… [read post]