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31 Jan 2024, 9:01 pm by renholding
On Jan. 16, the Supreme Court will hear argument in Macquarie Infrastructure Corp. v. [read post]
30 Jan 2024, 9:02 pm by renholding
I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), our so-called gag rule.[1]  This de facto rule follows from the Commission’s enforcement of its policy, adopted in 1972, that it will not “permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings. [read post]
30 Jan 2024, 4:52 am by Beatrice Yahia
The United Kingdom, in coordination with the United States, has imposed fresh sanctions on senior Iranian officials who are members of the Islamic Revolutionary Guard Corps (IRGC), in a bid to tackle what it says is a threat to U.K. domestic security. [read post]
26 Jan 2024, 8:56 am by jeffreynewmanadmin
The Securities and Exchange Commission today announced that Northern Star Investment Corp. [read post]
25 Jan 2024, 1:15 pm by Mark Astarita
The Securities and Exchange Commission today announced that Northern Star Investment Corp. [read post]
24 Jan 2024, 11:18 am by jeffreynewmanadmin
He is allowed to remain free on a $300 million bond secured by his yacht, named the Aviva, and private aircraft.The Government asserted that Lewis got inside information about four companies in which he had invested through his hedge fund and tipped friends and associates.The companies included Mirati Therapeutics and BCTG Acquisition Corp, a company that his hedge fund founded and took Tango Therapeutics public in a merger in 2021. [read post]
23 Jan 2024, 8:49 am by Silver Law Group
His previous employers include   National Securities Corporation (CRD# 7569) of Mineola, NY, First Montauk Securities Corp. [read post]
23 Jan 2024, 7:41 am by Silver Law Group
Silver Law Group represents investors in securities and investment fraud cases. [read post]
2 Jan 2024, 10:01 am by Robin E. Kobayashi
For example, are securities broker-dealers employees of the investment firm or are they independent contractors? [read post]
27 Dec 2023, 6:09 pm by The White Law Group
When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
27 Dec 2023, 11:21 am by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp   Merrill Richardson   Goldman Sachs & Co, LLC   William Blair & Company LLC   Michael Solomon   Maxim Group LLC   HFP Capital Markets LLC   Steven Thompson   Network 1 Financial Securities Inc. [read post]
20 Dec 2023, 4:58 pm by INFORRM
Both parties are thus bitterly hostile to the deal, although less for the ostensible reasons given – national security and press freedom – than for rather less noble and more self-interested ones. [read post]