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15 Mar 2022, 10:35 am
Robinhood outsourced the operation and maintenance of its technology to its parent company, Robinhood Markets, Inc., which is not a FINRA member firm. [read post]
15 Mar 2022, 5:22 am
(YRC), Roadway Express Inc. and Yellow Transportation Inc. [read post]
14 Mar 2022, 6:04 am
Revolution Jewelry Works, Inc. v. [read post]
11 Mar 2022, 1:05 pm
BlockFi Lending LLC (BlockFi) is a New Jersey-based financial services company owned by BlockFi, Inc. [read post]
11 Mar 2022, 12:30 pm
The Police Benevolent Association of the City of New York, Inc., moves to intervene as of right. [read post]
11 Mar 2022, 11:00 am
For the three fiscal years ended June 30, 2018, auditors identified $193,420 in costs that did not comply with reimbursement requirements. [read post]
11 Mar 2022, 11:00 am
For the three fiscal years ended June 30, 2018, auditors identified $193,420 in costs that did not comply with reimbursement requirements. [read post]
11 Mar 2022, 10:05 am
FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations The Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek “best execution” for its customers’ orders, according to a press release on March 8. [read post]
11 Mar 2022, 5:27 am
Global NAPs Inc. (2d Cir. 2010) (observing that a court may "hold a party in contempt for violation of a court order when the order violated by the contemnor is clear and unambiguous, the proof of non- compliance is clear and convincing, and the contemnor was not reasonably diligent in attempting to comply"). [read post]
10 Mar 2022, 1:50 pm
(citing Size Appeal of EA Engineering, Science, and Technology, Inc., SBA No. [read post]
9 Mar 2022, 7:47 pm
Public companies and other market participating or influencing companies and their leaders should begin preparing to comply with enhanced cybersecurity risk management, disclosure, strategy, governance and incident reporting and response requirements of a Proposed Rule the Security and Exchange Commission (“SEC”) published in today’s (March 9, 2022) Federal Register. [read post]
8 Mar 2022, 6:41 am
Grader, Inc. v. [read post]
8 Mar 2022, 6:41 am
Grader, Inc. v. [read post]
8 Mar 2022, 6:41 am
Grader, Inc. v. [read post]
7 Mar 2022, 9:57 am
In Advisers, Inc. v. [read post]
6 Mar 2022, 9:03 pm
In a Nov. 3 warning letter, the FDA described a June 15 remote Foreign Supplier Verification Program (FSVP) inspection of Rainfield Marketing Group, Inc. in Vernon, CA. [read post]
6 Mar 2022, 12:31 pm
Sherwood Food Distributors, Inc., No. 16-CV-2386, 2022 U.S. [read post]
4 Mar 2022, 10:27 pm
Supreme Court granted certiorari in Viking River Cruises, Inc. v. [read post]
4 Mar 2022, 1:19 pm
The following disclaimer is included to ensure that we comply with U.S. [read post]
4 Mar 2022, 9:57 am
According to MPC, the campaign comes as Visa Inc. and Mastercard Inc., which comprise nearly 80 percent of the U.S. credit card market, are prepared to implement a $1.2 billion increase in swipe fees in April. [read post]
