Search for: "Matter of Financial Corp."
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14 Jun 2020, 9:14 am
Here are the links to my posts describing the four coronavirus outbreak-related SEC enforcement actions: Praxsyn Corporation (here); Applied Biosciences Corp. [read post]
10 Jun 2020, 3:57 pm
But it is the narrative that was told (purposeful passive voice here) and that informed statements like that in the 1986-Matsushita-Supreme-Court decision, which is all that really matters for my point. [read post]
10 Jun 2020, 5:00 am
Mattis retired from the Marine Corps in March 2013 and joined the board of Theranos in July 2013. [read post]
8 Jun 2020, 12:36 pm
Bank of America Corp. [read post]
8 Jun 2020, 5:55 am
Patent and Trademark Office concerning the subject matter patent applications. [read post]
8 Jun 2020, 5:46 am
It wasn’t long after this case was filed that Morrow’s then-employer, the Omaha, Nebraska-based QA3 Financial Corp. permitted him to resign from his role with the company. [read post]
8 Jun 2020, 5:46 am
It wasn’t long after this case was filed that Morrow’s then-employer, the Omaha, Nebraska-based QA3 Financial Corp. permitted him to resign from his role with the company. [read post]
4 Jun 2020, 10:31 am
Bank of America to pay $7.23 million in Restitution to Clients FINRA Sanctions Bank of America for Overcharging Customers on Mutual Funds According to the Financial Industry Regulatory Authority (FINRA) this week, Bank of America Corp. agreed to pay $7.23 million in restitution and interest to settle the regulator’s allegations that it overcharged customers on mutual funds. [read post]
3 Jun 2020, 11:49 am
Pennsylvania Eng’g Corp., 102 F.3d 194, 198 (5th Cir. 1996)… . [read post]
3 Jun 2020, 7:42 am
A few weeks ago, the U.S. [read post]
29 May 2020, 9:04 am
The EO has no immediate consequences that matter. [read post]
21 May 2020, 2:35 pm
To the extent an employer intends to make employees whole for prior compensation reductions as financial conditions improve, from a Section 409A compliance perspective, it would be better to do so on a discretionary basis in the form of a bonus or other compensation. [read post]
17 May 2020, 4:48 pm
Craig Campbell Law Corp. that errors in judgment will not generally constitute negligence, because competent counsel may conduct a case differently and disagree about matters of judgement. [read post]
15 May 2020, 2:47 pm
This conduct continued until at least November 2019, according to case documents in the SEC matter, reviewed by attorney Rosca. [read post]
15 May 2020, 2:47 pm
This conduct continued until at least November 2019, according to case documents in the SEC matter, reviewed by attorney Rosca. [read post]
14 May 2020, 2:55 pm
Applied Biosciences, Corp. [read post]
13 May 2020, 8:01 am
Brooks to recuse himself from the case, even though the judge represented Tyson in unrelated matters about a decade ago, according to the response brief filed on Wednesday by subsidiary Tyson Mexican Original Inc. [read post]
10 May 2020, 9:01 pm
The subpoenas served on Deutsche Bank seek the records of President Trump, members of his family, the Trump Organization, Inc., and several affiliated entities, while the subpoena served on Capital One Financial Corp. seeks records only of the Trump Organization and affiliated entities. [read post]
10 May 2020, 7:40 pm
B Lab runs each company that applies for their B Corp certification through a thorough “Impact Assessment. [read post]
9 May 2020, 9:38 am
It is important to bear in mind that this second award was regarding the subject-matter which was inclusive of the first award. [read post]
