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1 Jun 2015, 4:05 am
Please email us if you would like us to add your event to this list. **** Date: May 31-June 2, 2015 Sponsor: WITI Event: The Women in Technology International (WITI) Summit Location: San Jose, CA Date: June 1, 2015 Sponsor: 100WHF Event: 100WHF Philanthropy Evening Recital with Juliet Stevenson and Tim McInnerny to benefit The Art Room Location: London, UK Date: June 2, 2015 Sponsor: 100WHF Event: The View from the Top – Asset Management CEOs Location: New York, NY… [read post]
14 Apr 2023, 11:27 am
The Securities and Exchange Commission said that altogether, customers of the four firms were swindled out of $3.5 million by brokers who made unauthorized trades in their clients’ accounts, traded accounts excessively to increase their commissions, or simply stole customers’ money. [read post]
6 Sep 2023, 9:01 pm
CAT LLC will adjust the applicable fee rate twice a year. [read post]
5 Dec 2011, 12:53 pm
For more information contact us at (877) SEC-ATTY.andnbsp; [read post]
5 Aug 2010, 3:49 pm
Products and practices that NASAA says warrant heightened scrutiny include, without limitation, the following: • Exchange-Traded Funds (ETFs). [read post]
12 Feb 2019, 10:32 am
GOLO, LLC v. [read post]
3 Sep 2014, 11:37 am
LLC v. [read post]
9 Dec 2016, 7:03 am
The seminar rounded off with Richard Davis covering the recent Meter-Tech LLC v British Gas Trading Limited [2016] EWHC 2278 (Pat) decision. [read post]
11 Jan 2016, 11:12 am
The Securities and Exchange Commission today announced that Julie M. [read post]
18 Aug 2014, 12:51 pm
An ongoing arbitration claim states that Taillon violated FINRA regulations pertaining to a Notice to Members which correlates to the sale of non-traditional, leveraged exchange traded funds (ETFs). [read post]
29 Aug 2024, 6:22 am
In 2011, the SEC launched an investigation into George Jaresky and Patriot28, LLC., his firm. [read post]
29 Aug 2024, 6:22 am
In 2011, the SEC launched an investigation into George Jaresky and Patriot28, LLC., his firm. [read post]
10 Aug 2023, 9:31 am
FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) states that a firm “in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. [read post]
13 Jul 2009, 6:45 am
(IAM) (Inventive Step) Global Global - General Intellectual Ventures Microsoft GSK and elephants – Thoughts on IAM magazine issue 36 Jul Aug 09 (IP Think Tank) Video interviews with IP Hall of Fame inductees Dolores Hanna, Michael Kirk and Niels Reimers (IAM) Next ACTA meeting 16-17 July, Morocco (Intellectual Property Watch) World Customs Organisation meeting 25-27 June: Counterfeiting and Piracy (CAP) committee replaces controversial SECURE group, new mandate on health… [read post]
12 Jan 2016, 2:29 pm
Aside from buying Oil and Gas futures directly, there are two frequently used products that investors use to invest in Oil and Gas – Master Limited Partnerships (MLPs) and Exchange Traded Funds (ETFs). [read post]
11 Mar 2009, 2:17 pm
Prosecutors also said that Madoff used $250 million from his investment advisory business to finance his market-making and proprietary trading businesses. [read post]
25 Oct 2008, 12:18 am
(IP Law Blog) Presidential politics and IP (IP Law Blog) US General - Decisions District court tosses trade secret misappropriation suit filed by 24 Hour Fitness USA against Bally Total Fitness Holding and its CEO (Law360) State appeals court acquits Frank Herbert McClain who was sentences to seven years in prison for allegedly stealing trade secrets from former employer Didrickson Associates (Law360) US General - Lawsuits and… [read post]
9 Nov 2009, 6:04 pm
Mohib Vice President Gov’t Relations â€" Federal McGuireWoods Consulting LLC 202.857.2912 [read post]
28 Jun 2012, 9:42 am
This, of course, only represents publicly traded stocks accepted for trade on U.S. exchanges. [read post]
25 Feb 2009, 12:50 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKCivil PracticeSuit Claiming CIA, Treasury's Use of Administrative Subpoenas To Get Financial Records DismissedAmidax Trading Group v. [read post]
