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26 Apr 2018, 6:30 am
Jeffrey Nimmow was previously registered with John Hancock Mutual Life Insurance Company, Signator Investors, USAllianz Securities, TradeRight Securities in Prairie Du Sac, Wisconsin from January 2007 until October 2008, Questar Capital Corp in Merrimac, Wisconsin from February 2009 until August 2015 and Forest Securities in Chicago, Illinois from August 2015 until March 2018. [read post]
28 Apr 2011, 6:35 am
Several other broker/dealers that sold private placements have shuttered in recent months, including QA3 Financial Corp. in February. [read post]
11 Jun 2009, 7:16 am
Federal authorities have announced their securities fraud lawsuit against former Countrywide Financial Corp. [read post]
31 Jan 2009, 4:59 pm
Pharmacia Corp., Nos. 07-4500 & 07-4564, slip op. at 11 (3d Cir. [read post]
25 Aug 2015, 8:24 am
Adams’ actions demonstrated a willful violation of FINRA rules and securities law. [read post]
17 Apr 2012, 4:29 am
Corp Fin Issues 17 More JOBS Act FAQs Yesterday, Corp Fin issued 17 FAQs helping to interpret a bunch of issues regarding "emerging growth companies" under Title I of the JOBS Act - including scaled disclosure - ahead of the SEC's rulemaking in this area. [read post]
21 Mar 2012, 1:22 am
SmithKline Beacham Corp. case. [read post]
25 Jun 2011, 7:42 pm
Merrill Lynch is a unit of Bank of America Corp. [read post]
1 Nov 2015, 1:24 pm
This week, the Marine Corps announced via internal memo that the M4 carbine will become the primary-issued rifle in infantry and security units, as well as replace the M16 rifle in supporting training schools by September 2016. [read post]
16 Sep 2019, 12:20 pm
The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate…Read the Full Press Release--- Visit the Securities Lawyer website. [read post]
6 Oct 2008, 9:10 pm
Spammers are using junk e-mail mentions of the Democratic candidate for U.S. president and Republican Party running mate Sarah Palin more often than their opponents, according to Secure Computing Corp., a provider of enterprise security solutions.Read the article: Government Technology [read post]
10 May 2011, 6:06 pm
A security vulnerability on Facebook Inc. for years gave advertisers and other third parties a way to access users’ accounts and personal information, according to security firm Symantec Corp. [read post]
15 Jul 2011, 8:30 pm
In In re Toyota Motor Corp. [read post]
27 Sep 2017, 3:00 am
Despite being an established market, the information available to buyers and sellers is limited when compared to the market for publicly-traded stock and therefore the market is characterized by significant opacity as compared to public exchanges where US federal securities laws, disclosure requirements and investor rights are well understood. [read post]
19 Mar 2018, 3:37 am
Wheet had engaged in securities fraud by issuing press release that had falsely portrayed the company as:a successful manufacturer of a safe and effective syringe slated for imminent mass production and distribution; andhaving secured significant sales agreements, including one with the U.S. [read post]
21 Jun 2022, 4:24 am
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq (BrokeAndBroker.com Blog)Home Health Care Provider Is Sentenced To Prison For Stealing More Than $1 Million From Two Elderly Clients (DOJ Release)FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations / NSC Ordered to Pay Over $625,000 in Restitution to Customers Who Bought… [read post]
1 May 2020, 6:22 am
Mission Critical Services Corp., Defendant/Counterclaim Plaintiff/Third-Party Plaintiff, v. [read post]
23 Feb 2023, 2:15 pm
The publicly traded merged company, Terran Orbital Corp., is referred to in the complaint as “New TOC. [read post]
17 Feb 2016, 1:49 pm
Microsoft Corp., 422 F.3d 1353, 1357 n.3(Fed. [read post]
22 Jul 2022, 3:39 am
If you have suffered losses investing in The Parking REIT (now known as Mobile Infrastructure Corp.) and would like a free consultation with a securities attorney, please call The White Law Group at 1-888-637-5510. [read post]
