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6 Aug 2013, 1:27 pm
The foregoing information, which is publicly available on FINRA’s website is being provided by The White Law Group, LLC. [read post]
30 Jul 2012, 11:14 am
The branch of NRP which is alleged to have been responsible for the scheme was a broker-dealer called Oxford Private Client Group LLC, which was partly owned by Mr. [read post]
4 Jun 2014, 8:50 am
The charges purportedly arise while Wetzel was working as a branch operations manager at a Rockville investment firm, Research Financial Strategies. [read post]
4 Nov 2011, 3:50 pm
However, during the past three months, there were two other outbreaks of E. coli 0157:NM: One prior E. coli O157:NM outbreak was linked to ground beef processed and distributed by McNees Meats and Wholesale LLC, of North Branch, Mich. [read post]
25 May 2022, 9:44 am
As a result, the Fifth Circuit vacated the SEC ALJ’s decision that George Jarkesy Jr. and investment adviser Patriot 28 LLC committed securities fraud. [read post]
5 Aug 2010, 4:59 pm
Contact: Chris Saporita, in the Office of Regional Counsel, at (212) 637-3203 or Christy Arvizu, in the Water Compliance Branch, at (212) 637-3961. [read post]
18 May 2019, 2:10 pm
Shareholders who received stock in the home improvement branch of Sears, known as Orchard Supply Hardware Stores Corp. allegedly received millions of dollars’ worth of stock, but without properly compensating Sears. [read post]
9 Feb 2017, 5:37 am
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
31 Jan 2007, 8:41 pm
About iCONECT Development, LLC iCONECT Development, LLC is a world leader in litigation support and collaboration software, with products used by law firms, corporate legal departments, Fortune 500 corporations, government agencies, and medical firms. [read post]
26 Sep 2011, 7:14 am
The companies were Escrow Closing Services, LLC, Paradigm Escrow and Title, LLC, Colorado County and Community Title, LLC, Real Estate Title, LLC, Transaction Coordinator Services, LLC, and G-4 Holding Company, LLC. [read post]
26 Sep 2011, 7:14 am
The companies were Escrow Closing Services, LLC, Paradigm Escrow and Title, LLC, Colorado County and Community Title, LLC, Real Estate Title, LLC, Transaction Coordinator Services, LLC, and G-4 Holding Company, LLC. [read post]
7 Apr 2022, 6:22 pm
Q: It has been nearly a year since the Supreme Court’s decision in AMG Capital Management, LLC v. [read post]
19 Jun 2017, 8:47 am
Those files contained all of WH Trading LLC’s proprietary computer code and trading software. [read post]
17 May 2018, 4:14 am
Corp., JV, LLC v Dormitory Auth. of State of N.Y. [read post]
6 Jan 2014, 7:42 am
In 2000, Busch became registered with Wells Fargo Advisors, LLC (“Wells Fargo”) where Busch remained working out of various Georgia branch office locations until his termination in October 2013. [read post]
16 Apr 2018, 7:34 am
The examiners traveled to Pagartanis’ branch despite his resignation, but were not provided with the information and documents requested. [read post]
19 Jan 2024, 3:49 am
USA, LLC v Koegel, 136 AD3d 957, 958). [read post]
29 Sep 2015, 2:02 pm
Awad, Torres, Snetzko, Wildermuth, Tannen, Elmazi, and Marzec had all transferred from HFP Capital Markets LLC (“HFP”) – a brokerage firm that FINRA had previously barred from the industry, to a Global Arena branch office that was specifically opened to employ them in October 2013. [read post]
10 Mar 2023, 3:00 am
Branch SE, UK Branch, 923 F.3d 427 (5th Cir. 2019). [read post]
29 Nov 2022, 7:00 am
Additional Resources: Jefferson Packing House LLC v. [read post]
