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9 Nov 2018, 9:17 am
Telltale Games, Inc., No. 3:18-cv-05850, complaint (N.D. [read post]
9 Nov 2018, 6:39 am
David Bindelglass Currently is registered with Cantella & Co., Inc. in Pearl River, NY, and with Morgan Stanley from 2009 until January of 2018 David Bindelglass has been registered with Cantella & Co., Inc. in Pearl River, NY, FINRA notes. [read post]
9 Nov 2018, 6:29 am
Joseph Roop is Currently Registered with Kalos Capital, Inc. in Belmont, NC, and Has Worked for 5 Other Firms in His 22 Years in the Securities Industry Joseph Roop is currently registered with Kalos Capital, Inc. in Belmont, NC, and has worked for 5 other firms during his 22 years in the securities industry, FINRA notes. [read post]
9 Nov 2018, 6:03 am
Sharfman, Main Street Investors Coalition Advisory Council, on Friday, November 2, 2018 Tags: Boards of Directors, Index funds, Institutional Investors, institutional Shareholder Services Inc. [read post]
8 Nov 2018, 9:05 am
UBS Financial Services, Inc. [read post]
8 Nov 2018, 7:34 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
8 Nov 2018, 1:00 am
” Virginia Uranium, Inc. v. [read post]
7 Nov 2018, 1:29 pm
The main revisions to the guideline includes: Replacing the Current Exposure Method (CEM) with the domestic implementation of the Standardized Approach for measuring Counterparty Credit Risk (SA-CCR), which will include new rules for capitalizing exposures to central counterparties and the securitization framework; Incorporating changes to the capital floor as outlined in OSFI’s letter dated January 12, 2018; Clarifying the capital treatment for right-of-use assets resulting from the… [read post]
7 Nov 2018, 8:46 am
John Elwood reviews Monday’s relists. [read post]
7 Nov 2018, 7:55 am
” In United Housing Foundation, Inc. v. [read post]
7 Nov 2018, 7:46 am
Panichi, who has 22 years in the securities industry with 4 NY firms, was also registered with National Securities Corporation in New York, NY from September 18, 2002 until June 4, 2007, and with Joseph Steven & Company, INc. in Brooklyn, NY from August 21, 1996 until October 9, 2002, FINRA notes. [read post]
7 Nov 2018, 6:25 am
Polyakov is currently employed by Westpark Capital, Inc. [read post]
7 Nov 2018, 4:31 am
Emily Hammond analyzes the argument in Monday’s second case, Virginia Uranium, Inc. v. [read post]
7 Nov 2018, 4:00 am
This is similar to the result in Medidata Solutions, Inc. v. [read post]
6 Nov 2018, 11:51 am
In practice, parties have used the LSTA form. [read post]
6 Nov 2018, 10:56 am
She regularly helps employer and other health benefit plan sponsors and vendors, health industry, insurers, health IT, life sciences and other health and insurance industry clients design, document and enforce plans, practices, policies, systems and solutions; manage regulatory, contractual and other legal and operational compliance; vendors and suppliers; deal with Medicare, Medicaid, CHIP, Medicare/Medicaid Advantage, ERISA, state insurance law and other private payer rules and requirements;… [read post]
6 Nov 2018, 4:00 am
Sean Kelly, a 49-year-old stockbroker from Marietta, Georgia, was registered with Center Street Securities, Inc. in Marietta, Georgia, from August 15, 2017 until October 25, 2018, and was also recently arrested on allegations of fraud and deceptive practices, the SEC notes. [read post]
5 Nov 2018, 2:35 pm
The complaint by the SEC states that Sean Kelly used his companies, Lion’s Share Financial of East Cobb, Inc., Lion’s Share and Associates, Inc., and Lion Share Tax Services, LLC, to raise $1 million from a variety of investors. [read post]
5 Nov 2018, 7:16 am
Min has been in the securities industry for 9 years with 8 different firms and has been registered with Woodstock Financial Group, Inc. in East Rutherford, NJ since March 24, 2016, FINRA states. [read post]
5 Nov 2018, 7:04 am
" Exchange Act Section 10(b)—“ It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange: *** (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, or any securities-based… [read post]
