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18 Mar 2024, 6:00 am by Sherica Celine
Wilson , TAYLOR ENGLISH DUMA LLP AND FINCEN REPORT COMPANY This article discusses the New York LLC Transparency Act (LTA). [read post]
15 Mar 2024, 4:00 am by Jim Sedor
State business filings show Efficient Private Protection and Security LLC is owned by Brenda Grisham, who also serves as one of two principal officers for the recall campaign, Save Alameda For Everybody. [read post]
12 Mar 2024, 3:00 pm by Hudson Hongo
The brief was also signed by Access Now, Center for Democracy & Technology (CDT), Fight for the Future, Internet Society, Mozilla, and Signal Messenger LLC. [read post]
11 Mar 2024, 7:14 am by The White Law Group
  FINRA BrokerCheck Report – Jay Pocius    According to his FINRA BrokerCheck report, Jay Pocius was affiliated with the following five firms during his eleven-year career in the securities industry:   05/19/2023 – 03/08/2024, GREAT POINT CAPITAL LLC (CRD#:114203), CHICAGO, IL, B, 08/29/2019 – 06/08/2023, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025), ARLINGTON HEIGHTS, ILB, 06/11/2013 – 09/05/2019, PNC… [read post]
11 Mar 2024, 6:02 am by John Allen Waldrop
An LLC gives you flexibility while still protecting your assets. [read post]
6 Mar 2024, 3:21 pm by Unknown
  The press release states: A federal grand jury indicted Linwei Ding, aka Leon Ding, charging him with four counts of theft of trade secrets in connection with an alleged plan to steal from Google LLC (Google) proprietary information related to artificial intelligence (AI) technology. . . . [read post]
6 Mar 2024, 2:22 pm by jeffreynewmanadmin
A federal grand jury has indicted Linwei Ding, aka Leon Ding, charging him with four counts of theft of trade secrets in connection with an alleged plan to steal from Google LLC (Google) proprietary information related to artificial intelligence (AI) technology. [read post]
5 Mar 2024, 5:40 am by Unknown
By Suzanne CosgroveThe Council of Institutional Investors (CII) has urged the SEC to initiate new rulemaking that will make it easier to trace shares sold into the marketplace through both direct listings and initial public offerings and, in the process, protect investors’ rights under Section 11 of the Securities Act of 1933.The CII said the urgency of its petition is in part a response to the Supreme Court decision Slack Technologies, LLC v. [read post]
4 Mar 2024, 9:01 pm by renholding
UBS Securities, LLC underscores the protections enjoyed by employees who report suspected fraud or securities violations and the risks companies face in taking action against such whistleblowers. [read post]
4 Mar 2024, 2:30 am by Donna Glover, Baker Donelson
In siding with the whistleblower, Trevor Murray, the Court rejected UBS Securities, LLC’s position that a finding of retaliatory intent is required for whistleblower protection under SOX, which governs corporate financial reporting and recordkeeping. [read post]
1 Mar 2024, 8:33 am by jeffreynewmanadmin
The Securities and Exchange Commission announced settling charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for trucking fleet company Ryder System Inc. [read post]
1 Mar 2024, 3:30 am by Liz Dunshee
” The rulemaking petition says that the 2023 decision in Slack Technologies, LLC v. [read post]
29 Feb 2024, 8:54 am by The White Law Group
  FINRA BrokerCheck Report – Michael Brickman    According to this FINRA BrokerCheck report, Michael Brickman was affiliated with the following firms during his career, among others:   05/25/2018 – 08/09/2023, PRUCO SECURITIES, LLC. [read post]
28 Feb 2024, 6:37 pm by D. Daxton White
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
26 Feb 2024, 1:35 pm by Amanda Brown and Heather Raun
UBS Securities LLC, No. 22-660, which addressed the proper framework for establishing a whistleblower claim under the Sarbanes-Oxley Act of 2002 (SOX). [read post]
22 Feb 2024, 9:06 am by Kelly Shivery
Murray’s supervisor repeatedly advised him to comply with the trading desk’s wishes. [read post]
21 Feb 2024, 7:45 am by The White Law Group
        The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]