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24 May 2007, 1:04 pm
The complaint also gives Solow proper notice of the claims (and their basis) that he aided and abetted Archer Alexander Securities Corp. in their violation of securities laws. [read post]
26 Mar 2024, 9:50 pm
Evolv became a publicly traded company as a result of its July 21, 2021, merger with Newhold Investment Corp., a special purpose acquisition company (SPAC). [read post]
21 Nov 2014, 12:01 pm
On November 17, 2014, Justice Shirley Werner Kornreich of the Supreme Court for the State of New York, New York County approved the stipulation of voluntary discontinuance between Assured Guaranty Municipal Corp., DB Structured Products, Inc., and ACE Securities Corp. [read post]
17 Apr 2024, 6:29 am
By Lene Powell, J.D.In its April 12 decision in Macquarie Infrastructure Corp. v. [read post]
15 Oct 2011, 8:09 pm
Since announcing his candidacy for the Republican presidential nomination, Rick Perry has drawn the intrigue of the press corps, the interest of conservative voters and the ire of Social Security benefits recipients. [read post]
9 Feb 2015, 6:03 am
The Harvard National Security Journal just published an unusually good issue that will be of interest to many Lawfare readers. [read post]
2 Aug 2022, 5:25 am
For example, a preliminary prospectus for one variable interest rate structured product offered by Aegis Capital Corp. specifically warns, “The securities will not be listed on any securities exchange. [read post]
10 May 2012, 8:30 am
On April 25, Financial Industry Regulatory Authority (“FINRA”) expelled broker-dealer Pinnacle Partners Financial Corp. and its president, Brian Alfaro, from membership after they failed to respond to allegations that they made fraudulent sales involving oil and gas private placements and unregistered securities in violation of Section 10(b) of the Securities Exchange Act of 1934. [read post]
5 Jun 2023, 12:24 pm
Thursday, June 1, 2023, was a busy day in the world of securities and corporate litigation. [read post]
28 Aug 2009, 9:03 am
The counterclaim alleges, among other things, that a federal judge in 1999 dismissed a lawsuit by the Securities and Exchange Commission against Kinlaw Securities Corp. making similar allegations about similar partnership interests after ruling that the partnership interests weren't securities. [read post]
22 May 2019, 9:02 am
The post Broker Allegedly Illegally Sold Over $23M in Woodbridge Securities appeared first on Securities Fraud Attorney. [read post]
6 Aug 2011, 4:44 pm
A rise in attacks by hackers in 2011 is showing limits of an older generation of security software from Symantec Corp. [read post]
6 Aug 2011, 4:44 pm
A rise in attacks by hackers in 2011 is showing limits of an older generation of security software from Symantec Corp. [read post]
13 Jun 2014, 5:00 am
BIH Corp., CASE NO. 2:10 CV 577, 2014 BL 69810 (M.D. [read post]
23 Jul 2010, 5:57 am
Dodd-Frank: Corp Fin Adds Six CDIs (& Withdraws One Too) Yesterday, Corp Fin added six new '33 Act CDIs to address the repeal of Rule 436(g) situation that I blogged about yesterday. [read post]
13 Apr 2012, 11:29 am
According to reports, a securities arbitration panel recently ruled that Lincoln Financial Advisors Corp. must pay $2 million to Jeffrey Concepcion, a broker who alleged that his company fired him and then damaged his professional reputation. [read post]
13 Feb 2011, 11:59 am
Mozillo of Countrywide Financial Corp. was fined by the Securities and Exchange Commission in one of many suits involving allegations that Countrywide borrowers and investors. [read post]
25 Apr 2012, 1:15 pm
In a default decision, San Antonio broker-dealer Pinnacle Partners Financial, Corp. has been expelled by a FINRA hearing officer for Texas securities fraud. [read post]
14 May 2020, 1:10 pm
According to a press announcement on May 12, 2020, the Securities and Exchange Commission announced that it has obtained the appointment of a receiver over Florida-based investment adviser TCA Fund Management Group Corp., its affiliate TCA Global Credit Fund GP Ltd., and several funds managed by TCA to “protect investors from a fraudulent scheme allegedly conducted by TCA. [read post]
16 Oct 2014, 2:05 pm
The Corps also points out that the sites contain dams and power generation facilities that require heightened protection, especially given homeland security threats…. [read post]
