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25 Nov 2013, 9:23 am
In the Matter of Jeffery Bruce Scharingson, Respondent (AWC 2012033287201, November 19, 2013).Scharingson entered the industry in 1993 and during the times relevant to this matter, he was associated from 2008 to July 12, 2012, with FINRA member firm Broker Dealer Financial Services Corp. [read post]
1 Jun 2015, 5:53 am
The Federal Circuit ultimately reversed the decision granting Arthrex's motion for judgment as a matter of law. [read post]
23 Dec 2013, 2:21 am
In the Matter of Pamela J. [read post]
8 Mar 2019, 8:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4480/securities-industry-commentator/SEC Charges Volkswagen, Former CEO With Defrauding Bond Investors During "Clean Diesel" Emissions Fraud (SEC Release)In the Matter of Allan Michael Roth (SEC Order Denying Respondent's Motion to Postpone Filing Answer Indefinitely)Good Intentions Pave Merrill Lynch Stockbroker's Retirement… [read post]
17 May 2016, 7:44 am
And then you may learn about a related FINRA disciplinary matter. [read post]
11 May 2014, 9:11 pm
May 13-15, 2014 - Fundamentals of Patent Prosecution 2014: A Boot Camp for Claim Drafting & Amendment Writing (Practising Law Institute) - Chicago, IL May 14-15, 2014 - EU Pharmaceutical Law Forum*** (Informa Life Sciences) - Brussels, Belgium May 15, 2014 - "Patent Subject Matter Eligibility: Navigating the New 'Myriad' Guidelines -- Analyzing Subject Matter and Avoiding Rejection Under the USPTO's Detailed Framework" (Strafford) - 1:00 to 2:30 pm… [read post]
2 Sep 2015, 7:10 am
When you live in Chicago, you know that temperatures can fluctuate dramatically in a matter of days - sometimes even in a matter of hours. [read post]
12 Feb 2021, 11:24 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5698/securities-industry-commentator/New Research: Four in 10 American Households Had Difficulty Withstanding a Financial Crisis Before COVID-19 / Financial Resilience Toughest for Millennials, Singles, Women and Those With Lower Incomes, No College Degree and Facing Unemployment (FINRA Release / February 17, 2020)Nobody looks out for retail investors… [read post]
8 Jul 2014, 9:59 pm
Bloomberg BNA Hosts Panel on Subject Matter Eligibility By Kevin E. [read post]
22 Jan 2014, 2:38 am
Another stockbroker handing the matter off to a sales assistant. [read post]
1 Jul 2015, 5:44 am
In some regulatory matters involving spouses, it is quite clear that the underlying issue is one of miscommunication and misunderstanding; in other matters, however, it's simply about lying and thieving. [read post]
23 Apr 2021, 3:54 am
Wells Fargo Advisors Financial Network, LLC, Respondent (FINRA Arbitration Award)FINRA Arbitrator Recommends Expungement After Citing Improper E-Mail Trade OrderIn the Matter of the Arbitration Between Patrick Peterson, Claimant v. [read post]
12 Apr 2015, 7:34 pm
Louis, MO April 16, 2015 - "Patent Subject Matter Eligibility: Navigating the New USPTO Guidance -- Analyzing Subject Matter and Avoiding Rejection Under the USPTO's Detailed Framework" (Strafford) - 1:00 to 2:30 pm (EDT) April 21, 2015 - U.S. [read post]
25 Mar 2015, 7:48 am
Finally, the Respondent in this matter apparently represented herself, and the lack of a lawyer may have contributed to the puzzling mess that confronts us. [read post]
13 Nov 2020, 8:14 am
How I Invest My Money: Finance experts reveal how they save, spend, and invest by Joshua Brown and Brian Portnoy (Harriman House; 1st edition (November 17, 2020)GUEST BLOG: Bill Singer Talks To Industry Recruiter Michael King of Michael King Associates (BrokeAndBroker.com Blog)Former Lawyer And CPA Charged With Tax Crimes In Addition To Defrauding Elderly Investors (DOJ Release)Local Law School Graduate Who Twice Failed Bar Exam And Set Up Two Fake Law Firms Sentenced To More Than Four Years… [read post]
12 Feb 2021, 11:24 am
FINRA Arbitrators Sanction Spoliation of Evidence by Industry Respondents But Voice Displeasure with Claimant's ProductionIn the Matter of the FINRA Arbitration Between Guillermo Lopez Perez, Claimant, v. [read post]
10 Nov 2016, 5:00 am
The court held that the death of a party deprived the trial court of subject matter jurisdiction over litigation by or against the deceased until such time as the deceased’s personal representative is substituted in his or her place. [read post]
3 Jul 2019, 7:37 am
In the Matter of CV Brokerage, Inc.,... [read post]
17 Mar 2014, 6:25 am
In the Matter of David Eckess, Respondent (AWC 2012031084801, March 12, 2014).Eckess first became registered with a FINRA member firm in 1985 and during the times relevant to this matter, he was registered through Morgan Stanley, Inc.Friends With BeneficiaryThe AWC asserts that in November 2011, Eckess agreed to being named the replacement (and sole) beneficiary on two Allstate Life Insurance Company variable annuities worth about $94,000 and held by a 92-... [read post]
7 Nov 2020, 3:38 am
Benjamin Wey, FNL Media LLC, and NYG Capital LLC d/b/a New York Global Group, Defendants (Third Amended Complaint)Most Wall Street workers to get lower 2020 bonuses: study (Reuters)FINRA Fines and Suspends Rep Over Customer GiftsIn the Matter of Michael Alan Biedny, Respondent (FINRA AWC)FINRA Fines and Suspends Rep Over PSTsIn the Matter of John A. [read post]
