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10 Jan 2019, 8:04 pm
In Munchkin, Inc. v. [read post]
9 Jan 2019, 7:27 am
According to BrokerCheck records financial advisor Scott Mass (Mass), currently employed by David Lerner Associates, Inc. [read post]
3 Jan 2019, 5:54 am
According to FINRA Disciplinary actions for December 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Adamo, Gregory Allstate Financial Services, LLC National Securities Corp Drill, John Northwestern Mutual Investment Services, LLC … [read post]
31 Dec 2018, 1:04 pm
According to Bloomberg, market woes have left Goldman Sachs Group Inc. [read post]
30 Dec 2018, 3:03 am
2018 was another busy busy year in the world of copyright, and a continuing global 'theme' was the ongoing battle between 'big tech' and 'big content', with the likes of Google and YouTube continuing to lobby extensively against planned reforms, bringing onboard (some) of the creative community - whilst the 'big content' (including film companies, music companies, the games sector and television) rolled out other creators - and finally seemed to be… [read post]
The patent defendant's dilemma in Munich: damned if you do, damned if you don't give up your secrets
23 Dec 2018, 9:59 pm
It's a ping-pong game of mutually upping the ante.In these two Qualcomm v. [read post]
18 Dec 2018, 11:08 am
Pace & Co, Inc Damian Serret PFS Investments Inc James Ward Northwestern Mutual Investment Services, LLC Stephen Yaworsky Raymond James Financial Services, Inc Bancwest Investment Services, Inc. [read post]
7 Dec 2018, 9:49 am
Carefirst, Inc. [read post]
7 Dec 2018, 4:00 am
Though not involving mediation, the Court in Betser-Zilevitch v Nexen Inc. [read post]
4 Dec 2018, 1:56 pm
According to BrokerCheck records former financial advisor Charles Doraine (Doraine), currently employed by Next Financial Group, Inc. [read post]
3 Dec 2018, 1:43 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Gary Pevey (Pevey), formerly associated with Mutual Securities, Inc. [read post]
3 Dec 2018, 9:27 am
Secretary of the Treasury Hank Paulson warns that, if this trend continues, “the integration of global innovation ecosystems [might] collapse as a result of mutual efforts by the United States and China to exclude one another. [read post]
30 Nov 2018, 6:06 am
Posted by Patrick McCabe (Board of Governors of the Federal Reserve System), on Thursday, November 29, 2018 Tags: Asset management, Exchange-traded funds, Index funds, Institutional Investors, Liquidity, Market conditions, Market reaction, Mutual funds, Risk, Shocks, Stock performance Delaware Law Status of Bylaws Regulating Litigation of Federal Securities Law Claims Posted by Lawrence A. [read post]
25 Nov 2018, 9:01 pm
In an action for equitable relief brought in connection with a failed employment relationship, the plaintiffs asserted that the defendant, Competitive Technologies, Inc. [read post]
16 Nov 2018, 12:41 pm
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, or Fined by FINRABrokerbank Securities, Inc. [read post]
16 Nov 2018, 5:45 am
., on Friday, November 9, 2018 Tags: Clawbacks, Disclosure, Diversity, Environmental disclosure, ESG, Executive Compensation, Glass Lewis, Materiality, Proxy advisors, Risk oversight, Shareholder proposals, Shareholder voting, Written consent Decoding Quant ESG Posted by Mike Chen, George Mussalli, and Yosef Zweibach, PanAgora Asset Management, Inc., on Saturday, November 10, 2018 Tags: Asset… [read post]
16 Nov 2018, 4:34 am
The staff also is beginning to bring actions for regulatory violations such as a failure to register, such as the December 2017 case against Munchee Inc., which was selling digital tokens through unregistered offers and sales. [read post]
11 Nov 2018, 4:03 pm
If they never made any payments on their respective loans, Foster and Mock were in effect net beneficiaries of the predatory loans (at least as long as the Trusts do not garnish their bank accounts, if any, judgments secured). [read post]
8 Nov 2018, 9:05 am
UBS Financial Services, Inc. [read post]
7 Nov 2018, 7:55 am
” In United Housing Foundation, Inc. v. [read post]
