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2 Apr 2020, 4:14 pm
Blue Apron Holdings, Inc., the Delaware Supreme Court held that a company’s charter provisions requiring Securities Act claims to be brought in federal court were facially valid under Delaware law. [read post]
28 Sep 2018, 5:07 pm
To speak with an attorney about your case in confidence, call us at (212) 742-1414, or send us a message online and we will be in touch as soon as possible. [read post]
4 Mar 2010, 5:00 am
Mace Security International Inc., Louis D. [read post]
11 Apr 2023, 11:53 am
The firm also failed to supervise one of its brokers in connection with an offering of Platinum Wealth Partners, Inc. [read post]
6 Apr 2018, 8:06 am
In anticipation of the institution of proceedings by the SEC but without admitting or denying the findings, Securities America Advisors, Inc. submitted an Offer of Settlement, which the federal regulator accepted. [read post]
11 May 2023, 12:36 pm
HSBC Securities Inc and Scotia Capital have agreed to pay $15 million and $7.5 million, respectively, to settle charges with the SEC. [read post]
10 Sep 2014, 4:05 am
Cisco Systems, Inc. [read post]
20 Jun 2022, 12:55 pm
GWG Holdings, Inc. [read post]
4 Nov 2013, 8:00 am
Security Associates, Inc., ___ F.3d ___ (9th Cir. 9/27/13), is the first Ninth Circuit case that I'm aware of dealing with certification of meal or rest period claims in the wake of Brinker v. [read post]
3 Jan 2020, 1:46 pm
However, a formal complaint has been filed by The Financial Industry Regulatory Authority Inc. [read post]
14 Jun 2006, 12:55 pm
Steve Stasiukonis, VP and founder of Secure Network Technologies Inc, tells us how easy it is using social engineering to collect passwords and data from a large and apparently secure corporation , by means of leaving USB drives around and waitinmg for people to wonder "I wonder what's on it? [read post]
24 Nov 2020, 7:55 am
(CRD#:137888), First Allied Securities, Inc. [read post]
6 Sep 2011, 9:21 am
Contrary to what investors were told, Daniel Powell and Christian Stanley, Inc. [read post]
10 Mar 2017, 7:28 am
FINRA alleges Schklar recommended and facilitated the sale of shares in a company that manufactured equipment used to grow marijuana, without BB & T Securities’ authorization. [read post]
22 Jun 2020, 9:03 am
Follow us for updates on LinkedIn, Twitter, or Facebook. [read post]
24 Feb 2011, 5:23 pm
©2011 Amaxx Risk Solutions, Inc. [read post]
11 Feb 2010, 3:19 pm
©2010 Amaxx Risk Solutions, Inc. [read post]
29 Aug 2013, 11:43 pm
Cascom Inc. [read post]
12 Apr 2022, 1:34 pm
Twitter, Inc. [read post]
17 Feb 2011, 5:40 pm
Securities and commodities industry representatives told the House Financial Services Committee that CFTC and SEC rulemaking implementing the derivatives provisions (Title VII) of Dodd-Frank go beyond what the legislation requires and are not harmonized with international derivatives regulatory efforts. [read post]
