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17 Feb 2021, 2:01 pm
Luftschein, who operated in the greater New York area, was registered with Aegis Capital Corp. from 2013-2016, and then with Joseph Stone Capital LLC for the years 2017-2018. [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
25 Sep 2013, 4:52 pm
Mutual Benefits Corp., 408 F.3d 737 (11th Cir. 2005). [read post]
7 Dec 2011, 8:25 am
Malecki opines to be "an era filled with ponzi schemes for which the industry should closely monitor to avoid harm to unwitting victims," this alleged ponzi scheme run through a series of shell companies including Burke and Grace Avenue Corp. [read post]
5 Feb 2016, 3:58 am
Ambase Corp., 2005 WL 2130614, at *6 (Del. [read post]
23 Apr 2014, 2:12 pm
The suit reportedly alleged that, among other things, Wyndham: Failed to use readily available security measures like firewalls;Allowed software to be configured inappropriately; Failed to ensure hotels implemented adequate information security policies; Failed to remedy known security vulnerabilities. [read post]
13 Dec 2022, 8:57 am
Mobile Infrastructure Corp. [read post]
30 Sep 2009, 1:25 pm
The SEC settled another case involving Foreign Corrupt Practices Act books and records and internal controls charges, this time against AGCO Corporation, a manufacturer and supplier of agricultural equipment. [read post]
16 Apr 2008, 12:35 pm
Boston Scientific Corp. et al., 07-1794 reverses the dismissal of a Private Securities Litigation Reform Act of 1995 ("PSLRA"), Pub. [read post]
9 Dec 2010, 6:38 pm
Urban has been accused of failing to reasonably supervise stockbroker Stephen Glantz, who was involved a stock market manipulating scam with Innotrac Corp. stock. [read post]
14 Aug 2009, 8:02 am
But the agreement with former Chief Operating Officer Peter Chernin that News Corp. [read post]
6 Apr 2011, 9:58 am
The underwriters are believed to have been involved in underwriting the Puerto Rico Conservation Trust Fund Secured Notes 5.90% are: UBS Financial Services, Inc. of Puerto Rico; R-G Investments, Corp.; Santander Securities Corp.; and Popular Securities. [read post]
24 Mar 2017, 7:33 am
According to reports, the SEC is pushing to bar a former Financial Network Investment Corp. broker who pled guilty to securities fraud, mail fraud and mortgage fraud last June in federal court in Philadelphia. [read post]
26 Nov 2019, 7:12 am
Raymond James & Assoc Southwest Securities Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
28 Aug 2018, 9:07 am
Biometric Information Privacy Act AGCO Corp., Ceridian HMC Inc. and Hegewisch Development Corp. [read post]
19 Dec 2010, 11:16 pm
The companies - Duke & King Acquisition Corp.; Duke and King Missouri, LLC; Duke and King Missouri Holdings, Inc.; Duke and King Real Estate, LLC; and DK Florida Holdings, Inc. - have seen same-store sales drop 4% in the first eleven months of 2010 versus 2009 and generated $81.7 million in revenues in the 44-week period ended November 4, 2010 ($5.4 million below projections). [read post]
11 Dec 2014, 9:49 am
In August, Lane explained, the SEC brought a case against Bank of America about certain disclosures the company failed to make in its MD&A about residential mortgage-backed securities. [read post]
31 Jul 2020, 4:48 am
Oh Lord, Won't You Buy Me A Mercedes Benz Or Get Me A PPP Loan for A Porsche or Lambo (BrokeAndBroker.com Blog)Walt Bettinger expects 'hundreds' of Charles Schwab Corp. staff tasked with wiring TD Ameritrade merger to soon soar to 'thousands' of Schwab and TD workers / The Charles Schwab Corp. [read post]
2 Aug 2012, 3:00 am
After several security lapses at its Port Huron uranium conversion facility, Cameco Corp. [read post]
9 Jun 2009, 10:03 am
After the jump, how JAG's offer of job security has led to a more competitive environment. [read post]
