Search for: "Walls Industries LLC"
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11 Feb 2011, 7:52 am
Under the terms of the settlement, UBS Securities LLC and UBS Financial Services, Inc. have agreed to offer the repurchase of $1.5 billion in ARS sold to retail investors in New Jersey. [read post]
10 Feb 2011, 6:50 am
Below is an On Wall Street piece about the case. [read post]
3 Feb 2011, 12:09 pm
Hovnanian Homes - DFW, LLC. and the City of Dallas. [read post]
18 Jan 2011, 4:56 am
Remember all those million dollar cases you’ve read about; the same ones that were supposed to be bankrupting the insurance industry, you know the coffee case you all talk about. [read post]
5 Jan 2011, 11:26 am
The IAA argues that an SRO would be a heavy, unnecessary burden for the investment advisory industry. [read post]
4 Jan 2011, 3:35 pm
For more information, or a different take on what I discussed in this entry, see The Wall Street Journal's January 3rd article on the issues and NCSL.org. [read post]
28 Dec 2010, 10:41 am
In March 2010, the Financial Industry Regulatory Authority (FINRA) formally expelled Provident Asset Management LLC, the broker-dealer arm of Provident. [read post]
29 Nov 2010, 8:13 am
Hedge fund whistleblowers and insiders rely on a lucrative cottage industry known on Wall Street as the “expert network. [read post]
22 Nov 2010, 10:05 am
Now, the Financial Industry Regulatory Authority (FINRA) has proposed that broker-dealer member firms of FINRA disclose, in writing to their non-institutional customers, conflicts of interest prior to providing services to such customers. [read post]
22 Nov 2010, 9:01 am
According to The Wall Street Journal’s story on Nov. 20, the feds have been conducting a three-year investigation into multiple insider trading rings that has uncovered “new ways non-public information is passed to traders through experts tied to specific industries or companies. [read post]
19 Nov 2010, 5:00 am
Madoff Investment Securities LLC (BMIS) with playing key roles in the Madoff Ponzi scheme. [read post]
17 Nov 2010, 8:28 am
Shipbuilding, munitions and building construction are just some of the industries prone to asbestos use. [read post]
17 Nov 2010, 8:13 am
Hand is now self-employed as Yampa Quantitative LLC, a Colorado-based consultancy. [read post]
1 Nov 2010, 2:46 am
Archmetal Industries Corporation (IPblog) Copyright and innovation from yoga to football: FWS Joint Sports Claimants v. [read post]
31 Oct 2010, 5:34 pm
Shear, LLC. [read post]
19 Oct 2010, 5:58 am
LLC, No. 08-30738 (5th Cir. [read post]
18 Oct 2010, 3:07 am
Hunter Fan Co (Docket Report) District Court S D Florida: Allegations of knowledge and materiality are sufficient to infer intent to deceive: Innovative Biometric Technology, LLC v. [read post]
15 Oct 2010, 11:38 am
I have many friends who go on...and on...and on about the need to enact aggressive tort reform to protect the healthcare and pharmaceutical industries from "frivolous" lawsuits.An article in the October 14 edition of the Wall Street Journal provides an adequate response to my friends' prayers for tort reform. [read post]
15 Oct 2010, 8:01 am
He’s taking the post of a “well stimulation” company called Frac Tech Services LLC. [read post]
13 Oct 2010, 8:46 am
FINRA facilitates and oversees the industry’s mandatory arbitration system. [read post]
