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16 Aug 2023, 9:04 am
According to FINRA, this is not the first time Securities America has been sanctioned for supervisory failures. [read post]
15 Nov 2023, 12:30 am
The post How to File a Complaint against your Broker appeared first on The White Law Group. [read post]
27 Oct 2017, 6:24 am
First, the SEC has actually obtained admissions in only a very small number of cases. [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
17 Jan 2023, 11:14 am
appeared first on Jimerson Birr. [read post]
5 Apr 2023, 7:14 pm
Mutual Fund Overcharges The Securities and Exchange Commission settled charges with Berthel Fisher & Company over claims it failed to disclose conflicts concerning recommendations of certain mutual fund share classes that included 12b-1 fees. [read post]
7 Jun 2022, 3:29 am
Plans IPO under Ticker “BEEP” appeared first on The White Law Group. [read post]
29 Apr 2024, 9:34 am
Kitchen Cube LLC, 2024 WL 1829620, No. 8-23-cv-01698-MEMF-ADS (C.D. [read post]
12 Nov 2015, 4:33 pm
Griffen, 53, of 330 Halseyville Road, Ithaca, owner of Fingerlakes Excavating LLC, was charged with Grand Larceny in the Third Degree and Falsifying Business Records in the First Degree, felonies, as well as the Workers’ Compensation crimes of Fraudulent Practices, a felony, and Failure to Secure Compensation, a misdemeanor. [read post]
18 Jun 2013, 3:11 pm
., LLC, No. 04-12-00036-CV, 2012 WL 4578591, at *3 (Tex. [read post]
29 Oct 2012, 8:06 am
Apparently, the customer ignored the first discovery order. [read post]
30 Jul 2019, 5:51 pm
Gun Club is a “nonprofit mutual benefit corporation” with 17 directors. [read post]
13 Jul 2021, 7:08 am
Ponte Gadea New York LLC, the U.S. [read post]
16 Jan 2024, 6:00 am
Strumpf, 516 U.S. 16 (1995) In re B-Real, LLC, 527 B.R. 332 (B.A.P. 9th Cir. 2015) In re SemCrude, L.P., 399 B.R. 388 (Bankr. [read post]
3 Mar 2015, 5:30 am
A limited liability company (LLC), including a low-profit limited liability company (L3C), would be owned by the two parties but could be structured so that liabilities of the LLC would not normally ascend to the owners. [read post]
5 Feb 2010, 2:21 am
Forum November 26, 2008) (), citing Bag Boy LLC v. [read post]
2 Dec 2022, 8:24 am
The post Blackstone REIT (BREIT) Limits Redemptions appeared first on The White Law Group. [read post]
8 Feb 2012, 2:00 am
” Although this is one of the first decisions of its kind, it won’t be the last time the issue is challenged. [read post]
10 Apr 2008, 7:26 am
This is the first time that Goldman had been linked to these probes. [read post]
18 Dec 2006, 12:08 am
State Farm Mutual Auto Ins. [read post]
