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23 Jun 2009, 3:07 pm
It is no less unfair to require investors to file their claims in a forum sponsored by the brokerage firms' trade organization (which until recently was called the National Association of Securities Dealers) with one of the arbitrators being a used securities salesman. [read post]
20 Jun 2009, 9:38 am
For further information, please contact us. [read post]
18 Jun 2009, 5:19 pm
Evid. 702, and whether there was sufficient evidence to support the jury’s finding that the defendant knowingly failed to disclose material information on insider trading. [read post]
24 May 2009, 11:37 pm
See Lumileds Lighting U.X., LLC v. [read post]
22 May 2009, 1:06 am
The US Securities and Exchange Commission is suing the defendants, which include Kiselak, who is now a money manager, his Texas-based investment firm Kiselak Capital Group LLC, Jeffrey Sykes, and Gemstar Capital Group Inc, a venture capital company. [read post]
21 May 2009, 1:42 am
FSA Launches Insider Trading Case Against Two Lawyers
Legal Week
The U.K.'s Financial Services Authority has brought insider trading charges against two lawyers: Andrew Rimmington, a partner in the London office of Dorsey & Whitney, and Michael McFall, a former partner with McDermott Will & Emery. [read post]
18 May 2009, 7:03 am
For further information, please contact us. [read post]
14 May 2009, 1:45 pm
Securities and Exchange Commission. [read post]
24 Apr 2009, 5:28 pm
-Calif.) excoriated Gingrich for using scare tactics and talking in circles, ending by asking “if you are scared to work with us, what are doing here? [read post]
24 Apr 2009, 6:45 am
Securities and Exchange Commission ("SEC") censured Hennessee Group LLC and Charles J. [read post]
16 Apr 2009, 1:44 pm
" He has sued Gary Weiss, the Securities and Exchange Commission, and Yahoo claiming among other things delusional criminal conspiracies singling out Jews, in particular. [read post]
14 Apr 2009, 12:49 pm
& Associates LLC, Weizhen Tang Corp. [read post]
11 Apr 2009, 7:48 am
Rather, some of it was used to buy off-exchange currencies and on-exchange futures. [read post]
9 Apr 2009, 4:23 pm
The order enters findings of fact that Vitebsky and others participated in a scheme in which Vitebsky used A.S. [read post]
9 Apr 2009, 2:12 pm
Docket: 08-674 Title: NRG Power Marketing, LLC, et al. v. [read post]
31 Mar 2009, 1:45 am
In fact, there are publicly traded LLCs -- Fortress and OchZiff come to mind. [read post]
27 Mar 2009, 1:49 pm
ICE US Trust LLC, a division of InternationalExchange Inc., began processing credit default swap trades on March 9. [read post]
26 Mar 2009, 9:30 am
FINRA says the trading addressed by the short selling case took place during a specific restricted period (usually five business days) when the Securities and Exchange Commission doesn't allow for short sales to be covered with securities from secondary offerings and before the secondary offering is priced. [read post]
20 Mar 2009, 10:35 am
Reyes Holdings LLC 13. [read post]
12 Mar 2009, 9:19 am
Madoff Investment Securities LLC, was "one big lie. [read post]
