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16 Oct 2020, 4:45 am
Three of these member firms are now expelled by FINRA (Benson York Group, INC, Brookville Capital Partners, and Legend Securities, INC.) [read post]
15 Oct 2020, 1:19 pm
In this latest ruling, the court held that social media company Kik Interactive Inc. violated US securities laws when it failed to register its 2017 sale of nearly US$100 million of its digital tokens, called “Kin,” with the Securities and Exchange Commission. [read post]
15 Oct 2020, 1:01 pm
Mills Fun Grp., Inc. v. [read post]
15 Oct 2020, 9:00 am
For example, in some cases, the OBeP process has involved numerous redirects and excessive security measures, such as requiring customers using a PISP to go through two or more Strong Customer Authentication (SCA) processes. [read post]
11 Oct 2020, 4:31 pm
A US news agency, X17, has apologised to the Duke and Duchess of Sussex after drones were used to take pictures of their son Archie. [read post]
9 Oct 2020, 3:05 pm
By now, of course, most landlords have adjusted to the problems associated with the indiscriminate use of arrest and conviction records as a tenant screening method. [read post]
8 Oct 2020, 11:47 am
Simek at Sensei Enterprises, Inc. [read post]
8 Oct 2020, 11:47 am
Simek at Sensei Enterprises, Inc. [read post]
8 Oct 2020, 8:56 am
Ripple has been locked in a long-running battle with the SEC and investors over whether the digital currency XRP is a security. [read post]
6 Oct 2020, 3:23 am
Barclays Capital Inc. and Barclays PLC v. [read post]
6 Oct 2020, 3:00 am
The facts involve a relatively small project on 8.2 acres, and the developer’s plan was to consolidate 24 parcels into two lots, with a mixed-use project on 6.23 acres and the balance of 1.98 acres as an open space lot. [read post]
5 Oct 2020, 9:13 am
Contact us today at ssilver@silverlaw.com or toll free at (800) 975-4345. [read post]
4 Oct 2020, 12:46 pm
In March 2020, the Securities Division of the State of Washington filed a complaint against Hannes alleging that from approximately 2003 to 2019, Hannes engaged in an extensive, long-term fraud against his Woodbury Financial clients by convincing them to write checks to Hannes Financial Services, Inc. for off-the-books investments and then used the money for other purposes. [read post]
3 Oct 2020, 3:11 pm
White granted a preliminary injunction in favor of several associations (Intrax, Inc, the National Association of Manufacturers, The US Chamber of Commerce, The National Retail Federation, and TechNet) that had filed a complaint in which they challenged the validity of President Trump’s Proclamation 10052. [read post]
2 Oct 2020, 5:46 am
Contact us[contact-form-7] Robert Barnard Was Employed With Principal Securities for 10 Years Barnard entered the securities industry in March 2008 as a General Securities Representative with Principal Securities, Inc. in Las Cruces, New Mexico. [read post]
2 Oct 2020, 5:46 am
Contact us[contact-form-7] Robert Barnard Was Employed With Principal Securities for 10 Years Barnard entered the securities industry in March 2008 as a General Securities Representative with Principal Securities, Inc. in Las Cruces, New Mexico. [read post]
1 Oct 2020, 3:37 am
While not all-inclusive due to the fact that M&A+I events are not always publicly disclosed and some announcements may not represent event completion, the abridged listing of M&A+I events maintained by ComplexDiscovery notes key industry events by sharing event date, company involvement, and known event amounts. eDiscovery Mergers, Acquisitions, and Investments in Q3 2020 Based on an aggregate review of the abridged listing through the lens of Q3 2020, the following findings, data points,… [read post]
1 Oct 2020, 3:00 am
The last day of the SEC’s fiscal year included the announcement of a settled enforcement proceeding against HP, Inc. [read post]
30 Sep 2020, 9:00 am
First, Shaila Ruparel, Associate General Counsel, II-VI Inc., observed that while data has some intrinsic value, its true value derives from how it is used. [read post]
29 Sep 2020, 7:12 am
These low-risk and loss protection statements made by UBS contradict the actual risks associated with the Program. [read post]
