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26 Sep 2019, 11:30 pm
”The report provides a comprehensive, quantitative analysis of publicly available information regarding opt-out securities cases. [read post]
26 Sep 2019, 8:29 am
Helix TCS, Inc., by holding that cannabis industry workers can claim overtime under the Federal Labor Standards Act (“FLSA”). [read post]
23 Sep 2019, 6:51 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, and/or Fined by FINRACV Brokerage, Inc (CRD #462, Williamstown, New Jersey) July 2, 2019 Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish and maintain a supervisory system and failed to establish,… [read post]
18 Sep 2019, 5:00 am
Chinese sources also note U.S. reticence to engage pre-2018: Zhang Li, a senior researcher at the Ministry of State Security-affiliated think tank China Institutes of Contemporary International Relations and regular participant in Track 1.5 dialogues, characterizes the Obama administration’s policy as deterring only “large-scale, destructive cyberattacks” through promises of retaliation while tolerating lower-level intrusions. [read post]
11 Sep 2019, 2:34 pm
See MV Transportation, Inc., 368 NLRB No. 66 (Sept. 10, 2019). [read post]
11 Sep 2019, 7:48 am
and Hartman Short Term Income Properties XIX, Inc. [read post]
30 Aug 2019, 5:53 am
Why Isn’t Your Mutual Fund Sticking Up for You? [read post]
18 Aug 2019, 8:07 am
The sanctions were based on the findings that Tacopino willfully violated Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5 and FINRA Rules 2020 and 2010 and by the same conduct, acted in contravention of Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933 by knowingly or recklessly orchestrating for his own personal benefit a fraudulent stock allocation scheme whereby he placed trades in firm accounts, monitored the performance of the trades… [read post]
8 Aug 2019, 12:07 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
6 Aug 2019, 10:31 pm
This is exactly the question that was addressed in a recent opinion by the Ninth Circuit Bankruptcy Appellate Panel in Schnitzel, Inc. dba R&J Jewelry & Loan v. [read post]
5 Aug 2019, 7:41 pm
This is exactly the question that was addressed in a recent opinion by the Ninth Circuit Bankruptcy Appellate Panel in Schnitzel, Inc. dba R&J Jewelry & Loan v. [read post]
2 Aug 2019, 9:09 am
Stow has an astounding 40 years in the securities industry, and has worked at the following firms: Raymond James & Associates, Inc., Franklin, Tennessee— September 6, 2013 to June 10, 2019Wells Fargo Advisors, LLC, Brentwood, Tennessee— September 24, 2010 to September 12, 2013Suntrust Investment Services, Inc., Nashville, Tennessee— June 27, 2005 to September 28, 2010 Suntrust Investment Services, Inc., Atlanta, Georgia— January 21,… [read post]
2 Aug 2019, 9:09 am
Stow has an astounding 40 years in the securities industry, and has worked at the following firms: Raymond James & Associates, Inc., Franklin, Tennessee— September 6, 2013 to June 10, 2019Wells Fargo Advisors, LLC, Brentwood, Tennessee— September 24, 2010 to September 12, 2013Suntrust Investment Services, Inc., Nashville, Tennessee— June 27, 2005 to September 28, 2010 Suntrust Investment Services, Inc., Atlanta, Georgia— January 21,… [read post]
1 Aug 2019, 5:02 pm
However, this can be waived by mutual consent. [read post]
28 Jul 2019, 4:25 pm
On the other hand, I do enjoy stretching my creative lawyering skills.In Erwin Hymer Group North America, Inc. v. [read post]
26 Jul 2019, 1:24 pm
Two of the firms, Western International Securities and Park Avenue Securities, settled on the same day that the self-regulatory organization (SRO) announced the multi-firm resolution. [read post]
26 Jul 2019, 6:17 am
Dike, Cleary Gottlieb Steen & Hamilton LLP, on Thursday, July 25, 2019 Tags: Insider trading, Liability standards, Rule 10b-5, SEC, SEC enforcement, Section 10(b), Securities enforcement, US House The Future of Shareholder Activism Posted by Assaf Hamdani (Tel Aviv University) and Sharon Hannes (Tel Aviv University), on Thursday, July 25, 2019 Tags: Asset management, Boards of Directors, Capital… [read post]
25 Jul 2019, 1:54 am
The Commission also applauds the efforts of businesses to comply with the GDPR, which has undeniably resulted in challenges for some, but has also created a timely opportunity for organizations to enhance internal privacy and data security practices, as well as develop privacy-friendly services. [read post]
19 Jul 2019, 5:57 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Tuesday, July 16, 2019 Tags: Anti-corruption, Books and records, Compliance & ethics, DOJ, FCPA, International governance, SEC, SEC enforcement, Securities enforcement, Securities regulation, Wal-Mart Conflicted Mutual Fund Voting in Corporate Law Posted by Sean J. [read post]
15 Jul 2019, 12:05 pm
” The committee will call Jill Marie Bussey, Director of Advocacy at Catholic Legal Immigration Network, Inc.; Eric Cohen, Executive Director, Immigrant Legal Resource Center; Michael Hoefer, Chief of the Office of Performance and Quality, U.S. [read post]
