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17 Feb 2021, 9:22 am
Scott Silver, managing partner of Silver Law Group, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and has extensive experience representing investors in securities and investment fraud cases. [read post]
1 Feb 2009, 5:23 am
Securities arbitration is run by the Financial Industry Regulatory Authority (FINRA), formerly known as the National Association of Securities Dealers (NASD) Regulation, Inc. [read post]
9 Apr 2012, 1:09 am
(See the note below about another recent action in which the SEC has sought to use Section 304 to clawback bonus compensation from executives of a company that had restated its financial statements.) [read post]
12 Jan 2011, 7:48 am
David Strongin, managing director of the Securities Industry and Financial Markets Association, says, "We vigorously and aggressively pursued opening China's market. [read post]
27 Mar 2013, 10:18 am
Morgan Securities, Inc. and J.P. [read post]
16 Feb 2021, 2:23 pm
This helps avoid multi-forum litigation and inherent uncertainties associated with litigating Securities Act claims in state courts, where rules and procedures are often less clear and less robust than their federal counterparts. [read post]
29 Oct 2013, 6:02 pm
A primary drafter of the Bolivian Social Security pension privatization law, Ms. [read post]
18 Oct 2013, 7:54 am
UBS Puerto Rico GNMA & US Government, Inc. [read post]
6 Jul 2010, 10:46 am
Citigroup, Inc., which used the phrase "principal protected" in its May 2010 marketing materials, removed it from a brochure filed with the SEC on June 15th. [read post]
25 Jan 2010, 5:00 am
Associates First Capital Corp., 2001 WL 35948712, at *23 (D. [read post]
25 Jan 2010, 6:13 am
People’s United Bank (“PATCO”) and JM Test Systems, Inc. v. [read post]
30 Jul 2015, 5:39 am
Finally, Klabal became associated with Legend Securities, Inc. in August 2011. [read post]
1 Nov 2017, 10:25 am
Employers continue to incorporate the use of biometric information for several employee management purposes, such as in systems managing time keeping and security access that use fingerprints, handprints, or facial scans. [read post]
27 Mar 2007, 11:11 pm
So far the IPKat has only found a note on European Central Bank v Document Security Systems Inc [2007] EWHC 600 (Ch) on LexisNexis Butterworth's subscription-only service. [read post]
15 Aug 2024, 9:01 pm
Jones & Co., L.P. agreed to pay a $50 million penalty LPL Financial LLC agreed to pay a $50 million penalty Raymond James & Associates, Inc. agreed to pay a $50 million penalty RBC Capital Markets, LLC agreed to pay a $45 million penalty BNY Mellon Securities Corporation, together with Pershing LLC, agreed to pay a $40 million penalty TD Securities (USA) LLC, together with TD Private Client Wealth LLC and Epoch Investment Partners, Inc., agreed to… [read post]
26 Mar 2010, 4:28 pm
Joining in urging the Court to grant review was the National Association of Shareholder and Consumer Attorneys, arguing that “the reach of the United States securities laws has become increasingly important as news stories break almost daily about fr [read post]
9 Sep 2013, 5:53 am
Intensive efforts have been made to crack security in widely used online protocols in Canada such as HTTPS, voice-over-IP, Secure Sockets Layer (SSL), virtual private networks (VPNs), and the protection used on 4G smartphones. [read post]
25 Oct 2023, 8:05 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Davd Burch Raymond James & Associates, Inc. [read post]
11 Jan 2019, 2:30 pm
Enbridge Inc. [read post]
3 May 2018, 10:40 am
ProPride, Inc., 579 F.3d 603, 610 (6th Cir. 2009) (affirming grant of motion to dismiss where the defendant did not use the trademark to identify the source of its products or to suggest an association between the defendant and the plaintiff); Cummings v. [read post]
