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1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc Integrated Resources… [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company American General… [read post]
25 Dec 2018, 3:00 am
Goddamn v. [read post]
27 Nov 2018, 7:00 am
New York is also where GCs are paid the most, topped by the two highest-paid GCs, Morgan Stanley’s GC Eric Grossman, who is paid $6.95 million in salary, and Laureen Seeger, head of the legal department at American Express, who is paid $6.7 million. [read post]
26 Oct 2018, 7:34 am
Wall Street Strategies, Inc Securities America, Inc Mark Vanaelst Morgan Stanley Robert W. [read post]
4 Sep 2018, 10:17 am
Eric Brown will moderate the discussion. [read post]
26 Jul 2018, 4:19 am
” In the Penn Program on Regulation’s Regulatory Review, Eric Fikry explains why last term’s decision in Murphy v. [read post]
8 May 2018, 5:28 am
* With NY Attorney General Eric Schneiderman resigning, the negotiations to determine his successor are in full swing. [read post]
26 Jan 2018, 12:58 pm
Bookbinder, and Eric J. [read post]
11 Jan 2018, 4:30 am
Brennan Stanley S. [read post]
22 Dec 2017, 11:08 am
Bookbinder, and Eric J. [read post]
23 Oct 2017, 10:22 am
The Times’ Thomas Gibbons-Neff, Eric Schmitt and Adam Goldman described the CIA’s expanding mission in the war against the Afghan Taliban. [read post]
23 Aug 2017, 1:15 pm
It’s now much harder to believe, as Eric Schmidt once assured us, that “technology will solve all the world’s problems. [read post]
12 Jun 2017, 2:30 pm
The 49 people whose lives were lost in the attack at Pulse are: Edward Sotomayor Jr. (34 years old) Stanley Almodovar III (23 years old) Luis Omar Ocasio-Capo (20 years old) Juan Ramon Guerrero (22 years old) Eric Ivan Ortiz-Rivera (36 years old) Peter O. [read post]
26 Mar 2017, 8:22 pm
Morgan Stanley analyst Brian Nowak inadvertently put his finger on another source of potential criminal liability for Google executives, including Eric “RICO suave” Schmidt himself, in a Barron’s interview: [T]he actual threat to Google revenue is low.] [read post]
23 Mar 2017, 1:59 pm
It is my great pleasure to announce an upcoming conference: The Future of Sovereign Wealth Funds, sponsored by the Wake Forest Law Review 2017 as their Spring Symposium. [read post]
24 Jan 2017, 11:54 am
“Citigroup and Morgan Stanley sold securities in a complex trading program without giving certain investors important information about the risks and costs of the program,” said Eric I. [read post]
21 Nov 2016, 6:00 am
The case follows a similar pattern to one against YouTuber Lewis Bond, who was sued by Serendip over a video doing an analysis of Stanley Kubrick’s films. [read post]
28 Oct 2016, 7:08 am
According to Symantec researcher Eric Chien, Odinaff appears to be a financially motivated criminal group, rather than a nation-state actor. [read post]
22 Jun 2016, 2:51 pm
From the Stanley Cup to the NBA Championship, there were some major sports victories these last few weeks. [read post]
