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12 Feb 2018, 12:20 am by Peter Mahler
” “The first step in evaluating an implied covenant claim is to determine whether the contract in fact contains a gap that must be filled. [read post]
8 Nov 2023, 10:14 pm by D. Daxton White
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
4 Mar 2008, 9:40 am
This includes 1,887 debt classes tied to loans issued in 2006 and the first half of 2007. [read post]
15 Mar 2012, 11:00 am by Robert Kreisman
Sloan had been trying to light a cigarette, but ended up setting himself on fire and suffering from first, second, and third degree burns. [read post]
26 Oct 2018, 12:44 pm by Elizabeth Dalziel
AEGON allegedly neglected to adopt and implement a written model validation policy until July 2013, two years after the products and strategies were first offered. [read post]
13 Jun 2023, 3:35 am by Greg Lambert and Marlene Gebauer
This week on The Geek in Review, Marlene Gebauer and Greg Lambert talk with ⁠Curt Meltzer⁠, principal of ⁠Meltzer Consulting, LLC⁠. [read post]
4 May 2022, 3:37 pm
Pinnacle Market Development (US), LLC (2012) 55 Cal.4th 223, 236 (Pinnacle); Sellers v.Just Answer LLC (2021) 73 Cal.App.5th 444, 461 (Sellers).) [read post]
14 Mar 2022, 4:31 am by Franklin C. McRoberts
If the right of first refusal is not elected by the non-offering shareholders, dissolution is available. [read post]
26 Oct 2020, 2:54 am by Alan Rosca
About two years later, in March 2007, Shah was employed with First Clearing in St. [read post]
2 Jan 2024, 4:55 am by Peter J. Sluka
LLC (17-CV-8308, 2023 WL 8850097, at *1 [SDNY Dec. 21, 2023]), which tees up one of the first must-see business divorce trials of 2024. [read post]
2 Feb 2023, 12:32 am by D. Daxton White
  The post FINRA Rule 12206 Eligibility appeared first on The White Law Group. [read post]