Search for: "SEC v. Singer"
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25 Jun 2021, 7:19 am
Neovest Dissent Pushed Into The SEC Shadows (BrokeAndBroker.com Blog)PennEast Pipeline Company, LLC, Petitioner, v. [read post]
17 Jun 2021, 3:25 am
Collins v. [read post]
11 Jun 2021, 5:47 am
(BrokeAndBroker.com Blog)The Nasdaq Stock Market LLC, et al., Petitioners, v. [read post]
14 May 2021, 4:09 am
The Vanguard Customer Didn't Ask, Didn't Listen, But The Firm's Voicemail Sucks (BrokeAndBroker.com Blog)SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud (SEC Release)In an Order Determining Whistleblower Award Claims (SEC Order)FINRA Arbitrator Recommends Expungement of Customer Complaint by Non-CustomerIn the Matter of the Arbitration Between Gordon David Wollman, Claimant v. [read post]
23 Apr 2021, 3:54 am
Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration (BrokeAndBroker.com Blog)SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme (SEC Release)Carthage Man Pleads Guilty to Telemarketing Crimes / International Ring Worked Sophisticated Tech Support Fraud (DOJ Release)FINRA Arbitrator Recommends Expungement of Non-Existent Customer ComplaintIn the Matter of the… [read post]
23 Apr 2021, 3:54 am
FINRA Fear and Wall Street Trembling and The Financial Sickness Unto Death (BrokeAndBroker.com Blog)The SEC's WTF Moment Involving Alex OhHome health aide sentenced to more than 5 years in prison for using her position to steal more than $200k from disabled victim (DOJ Release)Rochester Man Second To Plead Guilty In Ponzi Scheme That Bilked Investors Out Of Thousands Of Dollars (DOJ Release)Massachusetts Man Pleads Guilty to Operating Nationwide Scheme to Steal Social Media… [read post]
14 Apr 2021, 8:00 am
FINRA Enters Into Fair Settlement Involving Customer Loans and Outside Business Activities (BrokeAndBroker.com Blog)SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud (SEC Release)SEC Obtains Final Judgments Against Three Defendants in International Microcap Manipulation Scheme (SEC Release)Gary Gensler Sworn in as Member of the SEC (SEC Release)Securities Commissioner Issues Order Stopping Fraudulent… [read post]
13 Apr 2021, 2:30 am
The determination of the heirs and the acceptance of the inheritance or the appointment of a legal representative may, but need not, be awaited (cf. also Singer/Stauder, European Patent Convention, 8th edition, Article 101, paragraph 109 ff.).In the present case, by order of August 8, 2018, the Local Court of Wuppertal appointed a temporary insolvency administrator by name in the insolvency proceedings relating to the assets of the then opponent and respondent to the appeal… [read post]
9 Apr 2021, 6:00 am
Desperately Seeking FINRA Arbitration On Remand From Federal Court (BrokeAndBroker.com Blog)Statement on Senate Confirmation of Gary Gensler (SEC Statement)9Cir Reverses/Remands -- Says Investment Banker's Statutory Employment Claims Fall Under Explicit Language of Arbitration ProvisionsShannon Zoller, Plaintiff/Appellee, v. [read post]
9 Apr 2021, 6:00 am
Hall, Claimant, v. [read post]
31 Mar 2021, 9:30 am
The Expungement Was Not Not Warranted But Still Denied (BrokeAndBroker.com Blog)The Schwab v. [read post]
5 Mar 2021, 9:50 am
Sadur, Claimant, v. [read post]
18 Feb 2021, 5:14 am
Mangan et al.Rene Rothstein Rubin, Plaintiff, v. [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]
5 Feb 2021, 10:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5687/securities-industry-commentator/SEC Suspends Trading in Inactive Issuer Touted on Social Media (SEC Release)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Amazon seller blasts the company's forced arbitration policy in congressional hearing on antitrust (CNBC by… [read post]
5 Feb 2021, 10:33 am
Dramatic Lawsuit Filed Against Robinhood by Family of Deceased Young Adult TraderDan Kearns; Dorothy Kearns; and Sydney Kearns, Plaintiffs, v. [read post]
29 Jan 2021, 6:48 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5675/securities-industry-commentator/SMARTMATIC USA CORP., SMARTMATIC INTERNATIONAL HOLDING B.V., and SGO CORPORATION LIMITED, Plaintiffs, v. [read post]
24 Dec 2020, 3:37 am
Vitse,individually and on behalf of all others similarly situated, Plaintiffs /Appellants, v. [read post]
11 Dec 2020, 7:08 am
In the Matter of Robinhood Financial, LLC, Respondent (Administrative Complaint, Commonwealth of Massachusetts)A History of SOES, Daytrading, NASD, NASDAQ, DOJ, SEC, Congress, and Robinhood -- and a Massachusetts Complaint and Another FINRA Fine (BrokeAndBroker.com Blog)Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges (SEC Release)FINRA Small Firm Advisory Committee: Carrie WisniewskiFINRA Small Firm Member on National Adjudicatory Council: Robert… [read post]
11 Dec 2020, 7:08 am
Lee Living Trust, et. al., Plaintiffs, v. [read post]
