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1 Mar 2024, 8:33 am
The Securities and Exchange Commission announced settling charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for trucking fleet company Ryder System Inc. [read post]
26 Mar 2019, 10:24 am
Employers, health plans and others concerned about managing the high medical, disability and other costs of Type 2 Diabetes should use today’s annual Diabetes Awareness Day observances and resources to beef up their efforts and tools. [read post]
8 Jul 2019, 1:42 pm
Hopkins has not been registered or associated with a FINRA member firm since that time, the AWC notes. [read post]
4 Sep 2016, 6:56 am
In May 2016 the Department of Justice (DOJ) filed a five-count indictment in New York against nine defendants including Jared Mitchell, the Managing Partner of Mitchell & Sullivan Capital LLC; Richard Brown, a registered broker with Chelsea Financial Services; Christopher Castaldo, the Chief Executive Officer of Stock Traders Press Inc. and the President of Wall Street Buy Sell Hold Inc.; Gerald Cocuzzo, also known as “Gerry,” a registered broker formerly with… [read post]
1 Dec 2021, 10:30 am
Sheppard Mullin partner Don Pelto and associates Kazim Naqvi, Rebecca Mackin, and Tom Carr were also key members of the trial team. [read post]
1 Dec 2021, 10:51 am
Sheppard Mullin partner Don Pelto and associates Kazim Naqvi, Rebecca Mackin, and Tom Carr were also key members of the trial team. [read post]
2 Feb 2010, 12:54 am
Please email us if you would like us to add your event to this list. **** February 1-2 Sponsor: Financial Research Associates Event: Investment Advisor Compliance and Hedge Fund Regulation and Compliance Location: New York, NY February 2 Sponsor: Eze Castle Integration Event: The Future & Implications of Hedge Fund Regulations Location: London February 2 Sponsor: 100 Women in Hedge Funds Event: Trivia Challenge and Fundraiser Location: London … [read post]
1 May 2018, 1:09 pm
The Board compared the claims to the dynamic-display electronic securities trading claims in Trading Technologies International, Inc. v. [read post]
30 Apr 2018, 2:00 am
The Board compared the claims to the dynamic-display electronic securities trading claims in Trading Technologies International, Inc. v. [read post]
5 Nov 2023, 3:10 pm
Cyber Events Trigger Substantial HIPAA Exposure Unless Security Rule Met The HIPAA Security Rule at 45 C.F.R. [read post]
26 May 2019, 5:45 am
Then from February 2017 until November 2017 Woodard was associated with IFS Securities. [read post]
27 Jan 2016, 11:51 am
Nicholas & Associates, Inc. [read post]
23 Mar 2016, 9:11 am
From February 2009 until October 2012, Benanti was associated with EKN Financial Services Inc. [read post]
23 Jun 2022, 6:32 am
In the latest salvo, on 25 May the US Securities and Exchange Commission (SEC) voted 3:1 to approve two proposals enhancing scrutiny of ESG funds and advisers’ ESG practices. [read post]
23 Jun 2022, 6:32 am
In the latest salvo, on 25 May the US Securities and Exchange Commission (SEC) voted 3:1 to approve two proposals enhancing scrutiny of ESG funds and advisers’ ESG practices. [read post]
10 Nov 2023, 5:58 am
” Trump has also associated himself with the “January 6 Choir,” which the government describes as “a group of particularly violent January 6 defendants detained at the District of Columbia jail. [read post]
8 May 2020, 12:02 pm
Contact us today. [read post]
20 May 2015, 9:49 am
Chatterjee solicited investments in a nutrient supplement company, but used that money to pay off investors who thought they invested in the fixed rate securities. [read post]
18 Feb 2014, 2:38 pm
I went on to become an arbitrator for NASD Dispute Resolution, Inc., now known as FINRA, which is the forum where approximately 90% of all securities disputes are resolved. [read post]
2 Aug 2022, 5:01 am
China’s cybersecurity regulator fined Didi Global Inc. $1.2 billion on July 21 for violating cybersecurity and data laws, drawing to a close a year-long probe into the ride-hailing giant. [read post]
