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20 Aug 2018, 1:40 pm
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, or Fined by FINRANewport Coast Securities, Inc. and Douglas Anthony Leone The firm appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
28 Jun 2016, 5:00 am
Williams maintained that ETE was estopped from leveraging the condition precedent because it breached the merger agreement by failing to use "commercially reasonable efforts" to secure the legal opinion. [read post]
11 Jun 2008, 2:08 pm
Day-Brite Lighting, Inc., 376 U.S. 234 (1964). [read post]
8 Apr 2015, 12:00 pm
The Dodd-Frank Act amended the Securities Exchange Act to provide for whistleblower incentives and protections in order to encourage individuals to report possible violations of securities laws, but the new law goes further than merely encouraging reporting. [read post]
9 Feb 2021, 12:55 pm
“CCP Inc. [read post]
13 Apr 2011, 1:19 am
Securities Litigation, 347 F. [read post]
25 Jan 2013, 1:22 am
Inc. [read post]
18 Jul 2012, 8:45 am
United States National Pageant, Inc. v. [read post]
14 May 2013, 5:45 am
Other examples of challenges faced by organizations is the potential for massive data breaches affecting millions of people around the world; security and privacy challenges associated with cloud computing; use of social media when doing background checks in view of the obligation to use accurate information in assessing candidates for employment; uses of credit scores; and bring your own devices (BYOD) in the employment context. [read post]
1 May 2010, 5:35 pm
Developments in the Hedge Fund Market Location: London May 11 Sponsor: Professional Financial Advisors, Inc. [read post]
23 Jan 2007, 3:53 pm
Cirrata is an affordable, easy to use, secure central repository for multiple digital information touch points. [read post]
7 Aug 2012, 2:38 pm
Nike, Inc. [read post]
18 Jan 2010, 3:34 am
Mary Queen of the Third Millennium, Inc. [read post]
12 Apr 2013, 10:01 am
Phoebe Putney Health System, Inc. [read post]
25 Feb 2013, 11:51 pm
Immigration and Customs Enforcement and Homeland Security Investigations. [read post]
12 Jul 2015, 4:01 am
Inc., 2014 ABCA 427 (36301) Who gets municipally-provided rehab payments for a historical building. [read post]
12 Jul 2008, 4:25 pm
Social Security Administration. [read post]
25 May 2019, 11:00 am
On March 12, 2019, executives of T-Mobile US Inc. [read post]
25 Apr 2011, 5:54 pm
John Fund, Inc. v. [read post]
12 Nov 2012, 12:19 am
Unfortunately, the plaintiffs’ may continue to pursue post-close merger cases as a way to try to extract something from the merger, even if they are unable to secure a pre-close settlement, simply because the likeliest outcome is that they will eventually get rewarded for doing so. [read post]
