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26 Jun 2014, 3:01 am
In the Matter of Marcy B. [read post]
7 Jun 2019, 11:12 am
To her credit, the Dissent sure as hell stood her ground -- although some might argue she was standing on legal quicksand.Case In PointIn a FINRA Arbitration Statement of Claim filed in May 2017, public customer Claimants asserted fraud in violation of Section 10(b) of the Securities Exchange Act and Rule 10b-5; financial damages and emotional distress; negligent misrepresentation; breach of fiduciary duty; violation of the Pennsylvania Unfair Trade Practices and Consumer Protection… [read post]
5 Jan 2013, 8:03 pm
b) The crash is probably serious. [read post]
28 Jan 2015, 5:04 am
In the Matter of Nnamdi B. [read post]
4 Jun 2014, 5:49 am
("Plaintiff") and Defendant B/E Aerospace, Inc. [read post]
13 Nov 2020, 8:14 am
About a month ago, on October 15, 2020, the SEC published: "SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan Company to Pay $20 Million Penalty" (SEC Release / October 15, 2020) https://www.sec.gov/news/press-release/2020-258 That SEC Release referenced the regulatory settlement whereby Respondent Andeavor LLC, without admitting the findings in the SEC Order https://www.sec.gov/litigation/admin/2020/34-90208.pdf, agreed to cease-and-desist from… [read post]
21 May 2015, 7:21 am
The following provocative policy proposals are found in Anthony B. [read post]
21 Sep 2018, 8:51 am
Without admitting or denying the allegations in the SEC Complaint, Meyer was permanently enjoined him from violating the antifraud provisions of Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, as well as the anti-touting provisions of Section 17(b) of the Securities Act of 1933..Allegedly, CSIR Group, LLC had... [read post]
25 Jun 2013, 12:45 pm
Easter, Jill Bjorkholm Easter, Jill Easter, Jilliane B. [read post]
11 Nov 2014, 9:00 pm
La demande avait pour objet une huile pour l'adsorption de poussière comprenant en particulier un surfactant non-ionique B, lequel comprend un composé appelé B11 et un composé appelé B2, la quantité de B allant de 10 à 30%. [read post]
18 Sep 2013, 10:16 pm
He additionally faces charges as a Level II armed career criminal, based on separate convictions in 2006 for distribution of a Class B substance and possession with intent to distribute a Class B substance. [read post]
4 Mar 2014, 2:35 am
., d/b/a Capital Asset Management ("WJS Capital"), and Certified, Inc., d/b/a Certified Clearing ("Certified"). [read post]
4 Sep 2014, 5:11 am
("MAG") and B/E Aerospace, Inc. [read post]
24 May 2018, 8:09 am
(Apuro) d/b/a ApuroFX and JCI Holdings USA (JCI) d/b/a JCI Trading Group, LLC, with off-exchange retail foreign currency (forex) fraud and failure to register as a Commodity Trading Advisor and Associated Person of a Commodity Trading Advisor. [read post]
26 Dec 2017, 3:09 am
According to the SEC Litigation Release:[B]etween 2004 and 2016, [John] Rogicki took advantage of his roles as investment adviser and trustee to the foundation b... [read post]
16 Dec 2017, 6:12 am
§ 78j(b), and Securities and Exchange Commission Rule 10b‐5, 17 C.F.R. [read post]
8 Jun 2016, 5:12 am
§ 7342(b). [read post]
28 Sep 2010, 3:39 pm
amak zorunda b? [read post]
28 Oct 2012, 4:27 am
Böttner, Anwaltskanzlei aus Hamburg und Neumünster. [read post]
18 Jun 2016, 4:00 am
The defendant, Jose Dominguez, was convicted of distributing the class B substance of cocaine, which is a violation of MGL c. 94C, § 32A(b), and doing so in a school zone, thereby violating MGL c. 94C, § 32J. [read post]
