Search for: "Lloyds Securities Inc."
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16 Mar 2018, 6:08 am
Securities and Exchange Commission, on Thursday, March 15, 2018 Tags: Accounting, Disclosure, Exchange-traded funds, Financial reporting, Investor protection, Liquidity, Mutual funds, Risk management, Securities regulation, Transparency [read post]
10 May 2011, 4:00 am
Marriott Hotels, Inc., 23 Cal. [read post]
18 Jul 2022, 2:46 pm
We are therefore seeing more ESG-focused securities litigation in the pipeline for these reasons. [read post]
2 Mar 2016, 9:03 am
For further analysis of the effect of The New Flamenco on commercial contracts more generally, we would recommend that you refer to our Client Alert on this case which you can access here: http://www.reedsmith.com/The-challenge-of-mitigating-your-losses-where-there-is-no-available-market–The-New-Flamenco-02-25-2016/ [1] Fulton Shipping Inc of Panama v Globalia Travel SAU [2015] EWCA Civ 1299 (judgment handed down on 21 December 2015) [2] See also our ENR Client Alert which considers… [read post]
25 Nov 2008, 10:19 pm
Hats off to Bruce Carton for the interview and for his new Securities Docket site (here) which has quickly also become a daily (or even several times daily) must-read. [read post]
20 Jun 2011, 7:26 am
Lloyd is also charged in this indictment with two counts of money laundering. [read post]
20 Jun 2011, 7:26 am
Lloyd is also charged in this indictment with two counts of money laundering. [read post]
14 Jul 2011, 11:06 am
The SEC stated that Saksa failed to reasonably supervise Bortel within the meaning of Section 203(e)(6) Direct Liability CCO has direct liability for: –Aiding and abetting, and causing firm violations such as: •Responding to regulatory inquiries •Responding to deficiency letters •Adopt/implement policies and procedures •Failing to file - Permitting unregistered individuals to act As an example the they cited In the Matter of the Buckingham Research Group, Inc.,… [read post]
9 Sep 2009, 4:17 am
Co., Inc. v Kappell & Kostow Architects P.C., 56 AD3d 355 [2008], lv denied 12 NY3d 703 [2009] [no privity between architect and bidder]); Point O'Woods Assn. v Those Underwriters at Lloyd's, London subscribing to Certificate No. 6771, 288 AD2d 78, 79 [2001], lv denied 98 NY2d 611 [2002] [no privity between insurance carrier and broker]). [read post]
29 Jun 2008, 12:05 pm
Comm Social Security Western District of Tennessee at Jackson 08a0356n.06 Directv Inc v. [read post]
29 Jun 2008, 12:05 pm
Comm Social Security Western District of Tennessee at Jackson 08a0356n.06 Directv Inc v. [read post]
20 May 2020, 1:58 pm
With permissions secured, the next question is how to find technologically relevant IP. [read post]
14 Nov 2022, 4:56 am
” And in Lloyd Capital Corp. v Pat Henchar, Inc. (80 NY2d 124 [1992]), the Court addressed the dichotomy under New York law of illegality based upon “malum in se, or evil in itself,” and “malum prohibitum,” or evil merely because it is prohibited. [read post]
17 May 2010, 7:07 am
Lloyd’s Underwriters (09-945). [read post]
29 Dec 2009, 2:20 am
Goodrich & Pennington Mortgage Fund, Inc., 373 S.C. 43, 53, 644 S.E.2d 43, 49 (2007) (rejecting the notion of a special duty in the secured transactions arena). [read post]
12 May 2010, 7:02 pm
Amicus brief of Giorgio Foods, Inc. et al. [read post]
25 Apr 2022, 4:41 am
A curated weekday guide to major national security news and developments over the past 24 hours. [read post]
29 Jul 2022, 6:30 am
Securities and Exchange Commission, on Thursday, July 28, 2022 Tags: Accounting, Accounting standards, Audits, Disclosure, Enron, FASB, Financial regulation, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities regulation [read post]
29 Jul 2022, 6:30 am
Securities and Exchange Commission, on Thursday, July 28, 2022 Tags: Accounting, Accounting standards, Audits, Disclosure, Enron, FASB, Financial regulation, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities regulation [read post]
26 Apr 2019, 9:53 am
§ 21.001; AutoZone, Inc. v. [read post]
