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5 Dec 2011, 12:53 pm
For example, in the 2004 Fidelity Brokerage Services LLC case, pre-announced inspections resulted in employees altering and destroying documents, among other things. [read post]
1 Dec 2011, 10:43 am
., Provident Royalties LLC, and DBSI Inc., all of which eventually failed, leading to sizeable investor losses. [read post]
30 Nov 2011, 1:02 pm
., Medical Capital Financial Corp. and Provident Royalties LLC, now Shale Royalties. [read post]
30 Nov 2011, 2:00 am
According to the SEC, Form PF was derived after consultations with, among other parties, foreign regulators who already collect such information from advisers to private funds. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
22 Nov 2011, 2:58 am
In Sonic-Crest Cadillac, LLC v. [read post]
22 Nov 2011, 2:58 am
In Sonic-Crest Cadillac, LLC v. [read post]
11 Nov 2011, 10:03 am
If you have been the victim of unfair pricing you should consult with an attorney. [read post]
4 Nov 2011, 10:48 am
As the U.S. investment banking and securities arm of UBS AG, the giant Swiss financial services company, UBS provides investment banking, research, and sales and trading services, mostly to corporate and institutional clients. [read post]
3 Nov 2011, 8:21 am
A Short sale fraud is a loose term for describing fraud, deceit, or trickery in connection with a short sale transaction. [read post]
2 Nov 2011, 4:51 am
& TECH) New York State Bar Association Releases Practitioner’s Guide to E-Discovery – http://bit.ly/rxua3G (New York State Bar Association) Source Consulting Group LLC Releases Results of 2011 Finance Operations Survey of Law Firms – http://bit.ly/tq7BOb (Business Wire) Technology and Tactics 5 Cloud Lessons Learned From Finance Industry Gurus – http://bit.ly/vcnln6 (Charles Babcock) A Review of Cloud Lessons Learned - http://bit.ly/vnocCZ (Mary… [read post]
1 Nov 2011, 3:58 am
© 2011 Simple Justice NY LLC. [read post]
31 Oct 2011, 1:55 pm
Last week the Financial Services Committee of the U.S. [read post]
25 Oct 2011, 9:51 am
Yet the case of Provident Royalties LLC shows that private placements may have crept beyond their traditional borders. [read post]
24 Oct 2011, 7:42 am
LoanPointe, LLC, 2011 WL 4348304 (D. [read post]
24 Oct 2011, 3:00 am
The case of the day is In re Broadsheet LLC (D. [read post]
21 Oct 2011, 2:03 pm
As noted previously, Simone eventually began working for Salomon Whitney LLC. [read post]
20 Oct 2011, 7:17 am
We accept representation on a contingent fee basis, meaning there is no cost to unless we make a recovery for you, and there is never any charge for a consultation or an evaluation of your claim. [read post]
18 Oct 2011, 9:47 am
Turner of Frost Brown Todd LLC 2011 About the Author: Joel B. [read post]
16 Oct 2011, 6:42 pm
RAYMOND ROWE, POLLY RUMBOUGH, and FIVE-STAR REALTY, INC., Appellees. 2nd District.Attorney's fees -- Contracts -- Contingency fee agreement -- Termination of services clause -- Representation agreement between attorney and client was unenforceable as matter of law where provision of agreement providing for immediate payment of accrued hourly rates upon discharge constituted a penalty clause, in violation of Bar rule -- Argument that trial court should have severed offending language… [read post]
