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6 Dec 2018, 5:48 pm
The Attorneys General of 42 states and the District of Columbia (collectively, the States) have entered into an Assurance of Voluntary Compliance/Assurance of Discontinuance (Agreement) with Encore Capital Group, Inc. and its subsidiaries, Midland Funding, LLC and Midland Credit Management, Inc., (collectively, Midland) to settle allegations relating to Midland’s debt collection practices. [read post]
6 Dec 2018, 11:55 am
According to the self-regulatory authority (SRO), broker Frank Dietrich sold 58 investors $10M of promissory notes that came from the Woodbridge Group of Companies. 30 of these investors were clients of Quest Capital Strategies, Inc., which was Dietrich’s brokerage firm at the time of the sales. [read post]
4 Dec 2018, 10:29 pm
Offshore Group Investment Limited d/b/a Vantage Drilling International, Vantage Deepwater Drilling, Inc., and Vantage Energy Services, Inc.; In the 133rd District Court of Harris County, Texas; Hon. [read post]
30 Nov 2018, 6:06 am
Kaplan (University of Chicago), on Monday, November 26, 2018 Tags: Conflicts of interest, Fund managers, Fund performance, Incentives, Misreporting, Mutual funds, Peer groups, Private equity, Reporting regulation, Reputation, Signaling, Venture capital firms Shareholder Voting in the United States: Trends and Statistics on the 2015-2018 Proxy Season Posted by Matteo Tonello, The… [read post]
29 Nov 2018, 1:28 pm
Authored by Brett Frischmann and Deven Desai Google, Amazon, and many other digital tech companies celebrate their ability to deliver personalized services. [read post]
28 Nov 2018, 9:15 am
During the Relevant Period, Dietrich purportedly solicited investors to purchase promissory notes relating to the Woodbridge Group of Companies LLC, a real estate investment fund. [read post]
21 Nov 2018, 9:56 am
Petitioner Don Zimmerman was a one-term city councilman in the Texas capital who in 2015 was seeking to raise campaign funds to use in responding to political attacks heading into the 2016 election. [read post]
19 Nov 2018, 4:01 am
Dozens of broker-dealers from around the country have sold GPB funds, including several Advisor Group broker-dealers: FSC Securities, SagePoint Financial Services, Woodbury Financial Services Inc., and Royal Alliance Associates. [read post]
14 Nov 2018, 2:54 pm
FINRA contends that because Hood took money for the reimbursements from the broker-dealer even though he didn’t actually qualify for the funds, he broke FINRA Rule 2010. [read post]
14 Nov 2018, 12:22 pm
(relisted after the November 9 conference) Returning Relists Quality Systems, Inc. v. [read post]
State of NJ Sues a NJ Based Opioid Manufacturer Seeking Reimbursement of Workers' Compensation Costs
13 Nov 2018, 4:17 pm
”Janssen joined the wave of opioid manufacturers working to persuade healthcare providers and patients – including the elderly and opioid-naïve – that pain had been widely and improperly under-treated, and that opioid pain medications were the answer.Ultimately, the complaint notes, Janssen and other opioid manufacturers -- and the front groups they funded – successfully changed the overall medical and public perception of opioids to something not… [read post]
7 Nov 2018, 8:46 am
Once again, we have a group of seven relisted cases all presenting the same issue and all involving the same respondent. [read post]
6 Nov 2018, 11:51 am
THE LEGAL SYSTEM IN ARGENTINA Argentina is a federal union of 23 provinces (or provincias) and a federal capital district, the City of Buenos Aires. [read post]
5 Nov 2018, 10:10 am
TSDR 5576100 SMARTGAIT TSDR 5576046 SCHLAGE SENSE TSDR 5592577 WAAH ORGANIC TSDR 5591997 NON-PERFORMING FUNDS TSDR [read post]
4 Nov 2018, 10:56 am
Origin Medsystems Inc., 299 F. [read post]
2 Nov 2018, 6:09 am
Freed, Karl Sandstrom, Dan Carroll, and Caitlin Moniz, Center for Political Accountability, on Friday, October 26, 2018 Tags: Accountability, Boards of Directors, Charitable spending, Corporate Social Responsibility, Disclosure, Engagement, Political spending, Securities regulation, Transparency Silicon Valley and S&P 100: A Comparison of 2018 Proxy Season Results Posted by David Bell, Fenwick & West LLP, on Saturday, October 27,… [read post]
31 Oct 2018, 2:20 pm
Sheikh, Venable LLP, ro hac vice.Waterfall Eden Master Fund, Ltd., Intervenor, represented by Andrew Dieter Cordo, Ashby & Geddes, Michael Hanin, Kasowitz Benson Torres LLP, pro hac vice & Uri Itkin, Kasowitz Benson Torres LLP, pro hac vice.Waterfall Delta Offshore Master Fund, LP, Waterfall Sandstone Fund, LP., Baldr Sherwood Fund, Inc., One William Street Capital Master Fund, Ltd., OWS ABS Master Fund II, L.P., OWS COF… [read post]
31 Oct 2018, 11:21 am
(relisted after the October 26 conference) AT&T, Inc v. [read post]
26 Oct 2018, 12:44 pm
The Orders allege that AEGON USA Investment Management LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc., marketed various products and investment strategies that used a “proprietary quant model” while failing to verify whether the models functioned as intended and without disclosing known risks connected with the models. [read post]
24 Oct 2018, 4:33 pm
FireEye had previously released a December 1, 2014 report about a group of hackers called “FIN4. [read post]
