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21 Jun 2022, 8:05 am
The Securities and Exchange Commission today charged Haverford, PA-based Egan-Jones Ratings Company, a nationally recognized statistical rating organization (NRSRO) registered with the Commission in certain ratings classes, with violating conflict of…Read the Full Press ReleaseHave a securities law question? [read post]
21 Jun 2022, 4:24 am
<a href="#jpms">JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)</a>Justice Department Secures Groundbreaking Settlement Agreement with Meta Platforms, Formerly Known as Facebook, to Resolve Allegations of Discriminatory Advertising / Lawsuit is the Department's First Case Challenging Algorithmic Discrimination Under the Fair Housing Act; Meta Agrees to Change its Ad Delivery System (DOJ Release)SEC Charges… [read post]
21 Jun 2022, 4:24 am
122 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations (SEC Release)SEC Charges Egan-Jones Ratings Co. and CEO with Conflict of Interest Violations (SEC Release)https://www.sec.gov/news/press-release/2022-111Without admitting or denying the findings in an SEC Complainthttps://www.sec.gov/litigation/admin/2022/34-95127.pdf,… [read post]
18 Jun 2022, 2:00 am
Jessica E Young (Victoria University of Wellington), Janine Winters (University of Otago), Jeanne Snelling (University of Otago), Ben White (Queensland University of Technology), Colin Gavaghan (University of Otago), Andrew Geddis (University of Otago), Richard Egan (University of Otago), The End... [read post]
17 Jun 2022, 12:03 pm
The subject of the Complaint was Western International Securities, and five of its registered brokers, Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan. [read post]
17 Jun 2022, 7:23 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to retirees and other retail investors. [read post]
16 Jun 2022, 8:53 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Best Interest Obligation regulations (commonly referred to as Regulation Best Interest or Reg BI) when they recommended and sold unrated, high-risk debt security known as L Bonds to retirees and other… [read post]
16 Jun 2022, 7:05 am
The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –…Read the Full Press ReleaseHave a securities law question? [read post]
3 Jun 2022, 4:00 am
National/Federal A Top White House Aide Has Ties to Amazon, Adding a New Ingredient to the Bezos-Biden Drama MSN – Hailey Fuchs and Emily Birnbaum (Politico) | Published: 5/26/2022 As the White House weighed how hard to engage Amazon founder Jeff Bezos over his criticism of its economic policies, it brought back a senior aide whose firm does work for the company. [read post]
31 May 2022, 4:00 am
Campaign Finance Florida: “Judge in Dark Money Case Reverses Order, Allows Mystery Group to Continue Shielding Donors” by Jesse Scheckner for Florida Politics Tennessee: “Tennessee Governor Signs Campaign Finance and Ethics Bill” by Kimberly Kruesi (Associated Press) for MSN Elections Michigan: “5 Michigan GOP Candidates for Governor Disqualified from Ballot After Board Deadlocks” by Paul Egan (Detroit Free Press) for MSN Ethics New York: “Trump… [read post]
13 May 2022, 4:29 am
Matt Egan reports for CNN. [read post]
11 May 2022, 4:00 am
Parties may be added by leave of court at any stage of the action (see CPLR 1003), including, "in the first instance, on appeal" (Matter of New York State Assn. of Plumbing-Heating-Cooling Contrs. v Egan, 86 AD2d 100, 105 [1982], affd on opinion below 60 NY2d 882 [1983]). [read post]
11 May 2022, 4:00 am
Parties may be added by leave of court at any stage of the action (see CPLR 1003), including, "in the first instance, on appeal" (Matter of New York State Assn. of Plumbing-Heating-Cooling Contrs. v Egan, 86 AD2d 100, 105 [1982], affd on opinion below 60 NY2d 882 [1983]). [read post]
11 May 2022, 4:00 am
Parties may be added by leave of court at any stage of the action (see CPLR 1003), including, "in the first instance, on appeal" (Matter of New York State Assn. of Plumbing-Heating-Cooling Contrs. v Egan, 86 AD2d 100, 105 [1982], affd on opinion below 60 NY2d 882 [1983]). [read post]
11 May 2022, 4:00 am
Parties may be added by leave of court at any stage of the action (see CPLR 1003), including, "in the first instance, on appeal" (Matter of New York State Assn. of Plumbing-Heating-Cooling Contrs. v Egan, 86 AD2d 100, 105 [1982], affd on opinion below 60 NY2d 882 [1983]). [read post]
28 Apr 2022, 5:45 am
Egan (1962), that Worcester’s main thrust had been undercut by “subsequent developments. [read post]
30 Mar 2022, 3:28 am
Egan, 369 U.S. 45, 82 S.Ct. 552, 7 L.Ed. 262 (1962), to protect the rights of the Tsimshian Nation members of the Metlakatla Indian Community and Tribe as to the Annette Islands Reserve, as to vested fishing rights relating to the Reserve, or allow the State of Alaska and the Alaska Supreme Court to abrogate and extinguish those aboriginal, treaty, presidential proclamation, and congressional legislation and grant rights [which abrogation involves native fishing rights that evolve from the… [read post]
28 Jan 2022, 1:36 pm
You can review a recording of the presentation by Ernest Badway and Patrick Egan here. [read post]
6 Dec 2021, 5:30 am
The Appellate Division's decision, sustaining Supreme Court's granting a probationary employee's CPLR Article 78 petition challenging the appointing authority's decision to terminate her from the position, is set out below: In the Matter of Antonia F. [read post]
6 Dec 2021, 5:30 am
The Appellate Division's decision, sustaining Supreme Court's granting a probationary employee's CPLR Article 78 petition challenging the appointing authority's decision to terminate her from the position, is set out below: In the Matter of Antonia F. [read post]
