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10 May 2018, 9:30 am
My first post on this blog, nearly two years ago, was about a trademark dispute between the State of Michigan, and a Michigan company, M22, LLC. [read post]
9 Dec 2013, 7:46 pm
Hornbeck Offshore Services, LLC v. [read post]
30 Dec 2022, 7:37 am
While a bar from the securities industry can be a powerful piece of evidence for investors pursuing FINRA arbitration claims against their advisors and/or their brokerage firms, investors should work with experienced securities and investment fraud attorneys to help maximize their recovery. [read post]
19 Apr 2024, 1:43 pm
While a bar from the securities industry can be a powerful piece of evidence for investors pursuing FINRA arbitration claims against their advisors and/or their brokerage firms, investors should work with experienced securities and investment fraud attorneys to help maximize their recovery. [read post]
26 Aug 2010, 2:19 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
5 Aug 2019, 7:56 am
Jefferies LLC acted as exclusive financial advisor to Navigant. [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]
4 May 2022, 9:01 pm
ENDNOTES [1] The companies are 2U, Inc., Adobe, Inc., Airbnb, Inc., Allbirds, Inc., Brightcove, Inc., Brighthouse Financial, Inc., Change Healthcare Inc., Comcast Corporation, FactSet Research Systems, Inc., Henry Schein, Inc., Ideanomics, Inc., Kraft Heinz Co., Lyft, Inc., Microsoft Corporation, Morningstar, Inc., Sleep Number Corporation, Starbucks Corporation, United Therapeutics Corporation, and WW International, Inc. [2] The listed investors and investment advisors are Council of… [read post]
29 Oct 2012, 8:06 am
Wells Fargo Advisors, LLC (FINRA Arbitration No. 11-03911) Although the power to dismiss a claim is in the rule book, until recently, you would be hard pressed to find an award which exercised that power. [read post]
25 Mar 2024, 9:01 pm
On March 5, 2024, the IRS proposed Treasury regulations (the Proposed Regulations) that would allow an applicable entity to claim these elective tax credit payments with respect to investments in LLCs and limited partnerships that own and operate clean electricity projects so long as the LLC or partnership validly elects for its owners to be taxed as if they directly owned the assets of the LLC or partnership (rather than be taxed under the rules generally… [read post]
17 Jun 2015, 6:41 am
Thereafter, in April 2004, Gates became registered with Wells Fargo Advisors, LLC (Wells Fargo). [read post]
4 Aug 2023, 8:13 am
SW Financial Jin Zhu Morgan Stanley Key Investment Services LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
19 Apr 2024, 2:04 pm
Morgan Securities LLC Wells Fargo Clearing Services, LLC John Kersey Northwestern Mutual Investment Services, LLC Robert W. [read post]
4 Apr 2016, 9:55 am
The post Taking the First Step In Estate Planning appeared first on Levine & Furman, LLC. [read post]
17 Sep 2021, 1:19 pm
MJ Capital Funding, LLC, MJ Taxes and More Inc. and Johanna Garcia, Case No. 21-61644-CIV-SINGHAL. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 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 Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block, Gabriel… [read post]
19 Aug 2022, 8:54 am
While a bar from the securities industry can be a powerful piece of evidence for investors pursuing FINRA arbitration claims against their advisors and/or their brokerage firms, investors should work with experienced securities and investment fraud attorneys to help maximize their recovery. [read post]
9 Jan 2023, 4:38 am
Husband and Wife had substantial securities assets, jointly investing in three separate brokerage accounts worth between $2 and $3 million. [read post]
29 Nov 2011, 1:37 pm
Bradley & Associates LLC (MJB&A) and the Analysis Group issued a 24-page, Fall 2011 update to an earlier analysis, Ensuring a Clean, Modern Electric Generating Fleet while Maintaining Electric System Reliability, published in August 2010. [read post]
22 Jan 2024, 11:35 am
In VLSI Technology LLC v. [read post]
