Search for: "Affiliates, Inc."
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18 Nov 2014, 4:30 am
The defective minibikes and go-carts were sold by Baja Inc., and its corporate affiliate, One World Technologies Inc., of Anderson, S.C. in the United States from 2004 to 2010. [read post]
7 Nov 2020, 3:38 am
Saad, a regional director in the Atlanta, Georgia, office of Penn Mutual Life Insurance Company and also registered with Penn Mutual's FINRA member broker-dealer affiliate Hornor, Townsend & Kent,... [read post]
21 Apr 2022, 6:00 am
Qlarant, Inc. v. [read post]
18 Apr 2016, 4:05 am
The complaint (full text) in Freedom From Religion Foundation, Inc. v. [read post]
7 Nov 2020, 3:38 am
Saad, a regional director in the Atlanta, Georgia, office of Penn Mutual Life Insurance Company and also registered with Penn Mutual's FINRA member broker-dealer affiliate Hornor, Townsend & Kent,... [read post]
21 Aug 2022, 12:45 pm
: The SEC Slays DRGN by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6616/aegis-frumento-insecurities-drgn/On August 16, the SEC filed a Complaint against Dragonchain, Inc. its affiliated companies and its founder, Joe Roets alleging that they sold unregistered securities. [read post]
11 Mar 2014, 3:36 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond James Financial Services, Inc. (“RJFS”), and Tomlinson was an employee of both the credit union and registered with RJFS.Salary Versus CommissionIn 2008, Tomlinson learned from a magazine article that a registered representative with whom h... [read post]
15 Mar 2019, 6:26 am
From 2012 to 2016, Booy victimized at least 15 clients in a $1.4 million scam whereby he had claimed to be affiliated with Principal Financial Group, althought he had no actual relationship with the firm and was not authorized to invest client funds with it. [read post]
18 Oct 2013, 4:00 am
In Trinity Lutheran Church of Columbia, Inc. v. [read post]
30 Jul 2019, 4:00 am
Elizabeth Medical Center, Inc. [read post]
15 Apr 2018, 6:10 am
In the Matter of Instinet, LLC, Respondent, (FINRAAWC 2013036836015, April 12, 2018)http://www.finra.org/sites/default/files/instinet_awc_041218.pdf The Financial Industry Regulatory Authority, BOX Options Exchange LLC; the CBOE BZX Exchange, Inc.; Investors Exchange LLC; the NASDAQ Stock Market LLC; and the New York Stock Exchange; and certain of their affiliated Exchanges censured and imposed a $1.575 million fine on Instinet, LLC for violatio... [read post]
19 Dec 2014, 4:10 am
In reaching its conclusion, the court reversed its own holding to the contrary a year ago because of the intervening 7th Circuit decision in Freedom From Religion Foundation, Inc. v Lew. [read post]
6 Jan 2015, 4:10 am
In Above and Beyond Child Care Inc. v. [read post]
26 Sep 2022, 3:18 am
Additionally, the SEC charged affiliated advisor DWS Investment Management Americas, Inc. with violating certain recordkeeping provisions of the Investment Advisers of 1940 and with failing reasonably to supervise with a view to preventing and detecting those violations. [read post]
5 Jan 2018, 5:59 am
("Global Digital") was not a shell company and that certain shareholders were not its affiliates. [read post]
15 Feb 2020, 4:08 am
., Inc. v. [read post]
15 May 2019, 4:26 pm
The attackers exploited a known vulnerability in May 2017 that Equifax Inc. had failed to patch, and operated undetected within Equifax Inc. [read post]
5 Apr 2007, 5:35 pm
After installation is complete, according to the complaint, the property developer usually must resell the vaults and cable to an AT&T affiliate, and only then will the affiliate provide phone service.Jensen alleges that defendants, three affiliates of AT&T, Inc.[1], conspired with another maker of the vaults, defendant Oldcastle, Inc., to eliminate competition and artificially inflate prices. [read post]
30 Sep 2021, 9:15 am
Affiliati Network, Inc. 2021 WL 1383368, No. 20-cv-23692-UU (S.D. [read post]
5 Dec 2011, 6:04 am
Axway, Inc., et. al., 6-10-cv-00011 (TXED December 1, 2011, Order) (Davis, J.) [read post]
