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31 Aug 2017, 2:12 am
The agreement lacks a corresponding provision restricting Registrant’s depiction of its mark, which is highly similar to Applicant’s applied-for mark.Finally, although the agreement provides for mutual notification in the event of consumer confusion, there are no specific measures that Applicant and Registrant agree to take to prevent consumer confusion: e.g., promises to use distinctly different packaging, labeling, or signs, etc., in association with their marks.The… [read post]
30 Aug 2017, 2:48 pm
"The SEC Divisions and Offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms, transfer agents, and other regulated entities and investment professionals will continue to closely track developments. [read post]
30 Aug 2017, 10:01 am
They are typically sold as unregistered securities which lack the same regulatory oversight as more traditional investment products like stocks, bonds or mutual funds. [read post]
30 Aug 2017, 7:11 am
The 9% sales commission brokers earned for selling ATEL 14 LLC may have provided some brokers with enough incentive to push the product to unsuspecting investors. [read post]
30 Aug 2017, 6:55 am
Please contact me as soon as possible to arrange an inspection of my property at a mutually agreeable time. [read post]
30 Aug 2017, 6:00 am
—Eastland 1994, writ denied) (“A contract which provides for its termination at the option of one or either of the parties will be enforced if not contrary to equity and good conscience” and citing established rule that a party’s performance may constitute consideration even if the contract was void when made for lack of mutuality). [read post]
29 Aug 2017, 7:13 pm
The MoU, which became effective on 25 August 2017, covers a variety of matters, including referral of cases, joint investigations, exchange and use of information, and the mutual provision of investigative assistance. [read post]
29 Aug 2017, 8:37 am
[meaning, for example] preceding a short list of repair items in a lease served to limit landlord’s structural responsibility to only those items listed in the lease vs. merely providing examples of the same. [read post]
29 Aug 2017, 8:37 am
[meaning, for example] preceding a short list of repair items in a lease served to limit landlord’s structural responsibility to only those items listed in the lease vs. merely providing examples of the same. [read post]
29 Aug 2017, 5:44 am
(CRD #14251, Springfield, Massachusetts) – An AWC (Accept, Waiver & Consent) was issued in which the firm was censured and required to provide a remediation plan to FINRA to remediate eligible customers who qualified for, but did not receive, an applicable mutual fund sales-charge waiver. [read post]
28 Aug 2017, 4:37 pm
Penalty payments are not required if the changes result from mutually agreed-upon shift swaps or coverage among employees or situations where operations cannot begin or continue due to threats to employees, public utility failures such as power outages, acts of nature, or other limited situations outside of the employer’s control. [read post]
28 Aug 2017, 9:00 am
Further, as noted by John Nicholson, the commander of U.S. forces in Afghanistan, the Russians appear to be providing support and even arms to the Taliban. [read post]
28 Aug 2017, 3:00 am
The largest case thus far in 2017 was brought against Barclays, which agreed to pay $97 million in disgorgement and penalties for overcharging clients for mutual fund sales and advisory fees. [read post]
27 Aug 2017, 2:25 pm
The legal resolution of the tension between the prescribed performance (which the court called the “prescribed criteria”) and the prescribed design may be resolved as follows: “Where a contract contains terms which require an item (i) which is to be produced in accordance with a prescribed design, and (ii) which, when provided, will comply with prescribed criteria, and literal conformity with the prescribed design will inevitably result in the product falling short of one… [read post]
26 Aug 2017, 5:42 am
But norms provide the boundaries that serve to restrain us from going full Lord of the Flies on each other. [read post]
25 Aug 2017, 7:49 am
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
25 Aug 2017, 4:00 am
The commercial producers represent a possibility of providing relief from the problem which ABSs cannot provide. [read post]
23 Aug 2017, 11:55 am
Free Consultation This information, which is publicly available on FINRA’s website, has been provided by The White Law Group. [read post]
23 Aug 2017, 11:00 am
Protecting national security and protecting press freedom are not mutually exclusive. [read post]
23 Aug 2017, 7:51 am
The findings also stated that the firm improperly charged customers in 34,313 securities transactions.Paul Wescoe SmithWithout admitting or denying the findings, Smith consented to the sanction and to the entry of findings that he failed to provide FINRArequested documents and information related to him conducting a private securities transaction without notifying his member firmAnthony Joseph VerziWithout admitting or denying the findings, Verzi consented to the sanction and to the entry… [read post]
