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17 Sep 2014, 6:06 am by Adam Weinstein
From May 2009 until August 2010, Clark was registered with First Midwest Securities, Inc. [read post]
16 Sep 2014, 5:35 pm by Lawrence B. Ebert
**Reuters covered the CAFC decision as follows: A federal appeals court on Tuesday [Sept. 16, 2014] threw out a jury order requiring Apple Inc to pay VirnetX Holding Corp $368.2 million in damages for infringing four patents concerning technology for providing security over the Internet.Shares of VirnetX plunged as much as 59.8 percent after the U.S. [read post]
16 Sep 2014, 8:36 am by D. Daxton White
According to their FINRA Broker Reports, Birli and Chapin were employed by Metlife Securities, Inc. prior to FINRA’s enforcement action. [read post]
16 Sep 2014, 7:15 am by Adam Weinstein
On or about November 21, 2002, Edward Jones fired Diaz for providing inaccurate information during a supervisory review, was terminated by Raymond James Financial Services, Inc. because it was “no longer comfortable supervising”, was permitted to resign on April 1, 2009, by First Allied Securities, Inc. because he had a history of customer complaints and administrative infractions., was fired by SII Investments, Inc. for unauthorized trading, was fired… [read post]
16 Sep 2014, 3:52 am
" The Board noted that there was, "unfortunately," no evidence regarding the reaction of consumers to applicant's use of the mark.Reviewing the specimen web page, the Board observed that the disclosures at the bottom of the page inform the reader that applicant is a "federally Registered Investment Advisory Firm," which means that it is registered with the SEC as an entity that, according to several financial dictionaries, "for compensation, engages in the… [read post]
15 Sep 2014, 3:31 pm by Cynthia Marcotte Stamer
The states that were selected to receive these grants will use the funds for a variety of improvements and initiatives, including enhancing employer audit programs and conducting employer education initiatives. [read post]
15 Sep 2014, 4:26 am by Kevin LaCroix
  The question arose again in the D&O insurance coverage litigation related to the various RMBS-related securities lawsuits that were filed against Nomura Holding America, Inc. and certain of its operating subsidiaries. [read post]
15 Sep 2014, 3:28 am by Peter Mahler
Widely viewed among New York practitioners as an ineffective use of time and resources. [read post]
14 Sep 2014, 7:25 am by John H Curley
While NJT asserts that NJTPD is akin to a municipal or State police force, NJTPD's jurisdiction is limited to "police and security responsibilities over all locations and services owned, operated, or managed by the [NJT] corporation and its subsidiaries. [read post]
12 Sep 2014, 1:32 pm by David Jensen
  Importantly, CIRM’s support has been multiplied, as it has helped us to secure other funding sources that we need to drive this project forward. [read post]
12 Sep 2014, 7:00 am by Charles Shih
In August 2014, the Federal Trade Commission (“FTC”) approved final orders resolving its actions against Fandango, LLC (“Fandango”) and Credit Karma, Inc. [read post]
10 Sep 2014, 2:15 pm by Nate Nead
ABC Widgets, Inc. raises $6 million in a first round offering from Equitynet. [read post]
10 Sep 2014, 11:53 am by David Jensen
No therapies involving human embryonic stem cells (hESC) have successfully run the clinical trial gauntlet in the U.S. and secured approval for widespread use. [read post]
10 Sep 2014, 6:13 am by Adam Weinstein
See Broker Sanctioned Over Unsuitable Sales of Private Placement Securities (FINRA sanctioned Karen Geiger); FINRA Sanctions Michael Wurdinger and Anil Vazirani Over GWG Debenture Sales (FINRA sanctioned brokers associated with Center Street Securities, Inc.). [read post]