Search for: "Announcements To Clients of Former Employer"
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1 Jul 2013, 10:46 am
The California Rules of Professional Conduct place restrictions on an attorney’s conduct in soliciting clients for employment. [read post]
14 Sep 2022, 7:31 am
Potential Lawsuits to Recover Investment Losses The White Law Group is investigating potential securities claims involving former LPL representative James Couture and the liability his employers may have for failure to properly supervise him. [read post]
16 Mar 2023, 1:08 am
March 16, 2023 On March 15, 2023, Canada’s federal Competition Bureau (Bureau) announced that it had launched a new competition law Compliance Portal (see: Consultation on new Compliance Portal). [read post]
2 Apr 2019, 9:35 am
In a statement released yesterday, the SEC said that the United States Attorney’s Office for the Southern District of New York separately announced criminal charges against Diver.The SEC released the following statement yesterday:The Securities and Exchange Commission today filed charges against the former Chief Operating Officer (COO) of a Commission-registered investment adviser for aiding and abetting the advisory firm’s actions to overbill its clients as… [read post]
1 Nov 2011, 5:05 am
Below is our press release announcing Aisha’s affiliation as well as the new practice area. [read post]
11 Feb 2008, 12:49 pm
Following trial, Martin was ordered to pay nearly $26,000 in damages to Al Minor, representing lost earnings from former clients successfully solicited by Martin. [read post]
11 Feb 2008, 12:49 pm
Following trial, Martin was ordered to pay nearly $26,000 in damages to Al Minor, representing lost earnings from former clients successfully solicited by Martin. [read post]
12 May 2023, 7:51 am
Announced as part of a number of planned legal reforms [(also see our employment law watch blog on changes to post-Brexit employment legislation)], the proposal is currently light on detail. [read post]
26 Mar 2015, 8:45 am
Stamer has more than 26 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
31 Mar 2023, 7:01 am
The Securities and Exchange Commission filed insider trading charges against Sean Wygovsky, a former trader at a Canadian asset management firm, and Christopher Matthaei, a former partner at a U.S. broker-dealer, for using nonpublic information in advance of at least seven merger announcements involving Special Purpose Acquisition Companies (SPACs) to earn illicit profits of more than $3.4 million. [read post]
5 Mar 2012, 11:16 am
The indictments were announced today during a morning press conference by U.S. [read post]
20 Nov 2014, 7:34 am
After a bench trial, a Connecticut state court rejected a violation of trade secret complaint by an employer against a former employee in BTS USA v. [read post]
20 Nov 2014, 7:34 am
After a bench trial, a Connecticut state court rejected a violation of trade secret complaint by an employer against a former employee in BTS USA v. [read post]
16 Oct 2012, 1:59 pm
Upon leaving Fidelity, the rep began calling his former customers to inform them of his new employment and sent ACAT forms to a sub-set of his former customers. [read post]
1 Apr 2019, 12:07 pm
Conducting this analysis within the scope of attorney-client privilege is important because the analysis and discussions are highly sensitive both as potential evidence for wage and hour and other legal purposes. [read post]
28 Mar 2019, 9:01 am
The Securities and Exchange Commission today filed charges against the former chief operating officer (COO) of a Commission-registered investment adviser for aiding and abetting the advisory firm’s actions to overbill its clients as part of a fraudulent scheme to improperly inflate his own pay.According to the SEC’s complaint, between 2011 and December 2018, former COO Richard T. [read post]
11 Nov 2012, 6:51 pm
The SFC in Hong Kong recently announced that a former employee of Philip Securities and Philip Commodities was being banned from the industry for 9 months because of his unauthorised access to information on the IT system of his employer. [read post]
8 Feb 2022, 11:42 am
To hide his alleged fraudulent activity, Nino reportedly removed one of the victim’s email addresses from the victim’s UBS email account profile so that the victim would not receive email notifications from UBS about unauthorized transfers; and purportedly prepared fraudulent UBS account statements and client review statements, which falsely inflated the balance and value of the victims’ accounts, according to the announcement. [read post]
25 Jan 2013, 8:50 am
Stamer also is recognized for her experience and skill aiding clients with a diverse range of other employment, employee benefits, health and safety, public policy, and other compliance and risk management concerns. [read post]
1 Apr 2010, 9:04 am
Such communications were discovered by her former employer on that computer after her termination. [read post]
