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4 Oct 2020, 12:46 pm
Selling away misconduct often occurs where brokerage firms either fail to put in place a reasonable supervisory system or fail to actually implement that system. [read post]
21 Sep 2020, 11:49 am
Richard Heydarian, an Asia-based academic; Ann Marie Murphy, a professor at Seton Hall University and Thitinan Pongsudirak, a professor at Bangkok’s Chulalongkorn University will discuss whether the “mainland-maritime contrast…enhance[s] or impede[s] the ability of Southeast Asian countries to retain national independence and fashion a common front in defense of the autonomy of their region. [read post]
31 Aug 2020, 2:13 pm
What About Inc, Corp, and Ltd? [read post]
15 Aug 2020, 11:36 am
Bottom line, in direct evidence scenarios, there is no need to even carry out the Twombly “plausibility” analysis in the first place. [read post]
3 Aug 2020, 6:36 am
From May 2009 through November 2016 Hoffman was associated with Wedbush Securities Inc. [read post]
26 Jul 2020, 6:12 am
”); Lamar Homes, Inc. v. [read post]
16 Jul 2020, 9:05 pm
They said, “the CVRA places no limitations on the alternative procedures which a court may fashion other than that the procedures be reasonable to effectuate the Act and that they not unduly complicate or prolong the proceedings. [read post]
21 Jun 2020, 9:03 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Kennedy was employed by his prior employer Woodbury Financial Services, Inc. [read post]
17 Jun 2020, 12:21 pm
(Compulife Software, Inc. v. [read post]
16 Jun 2020, 2:18 pm
Thus, Judge Anderson intensely focuses upon the following Capital One/Mandiant engagement timeline: November 30, 2015: Capital One enters into a master services agreement (“MSA”) with FireEye, Inc. and Mandiant, and thereafter enters into periodic statements of work (“SOW”) and purchase orders with Mandiant pursuant to the MSA. [read post]
11 Jun 2020, 11:30 pm
First, what does the defense brief signify by placing ‘meta-analysis’ in quotes. [read post]
4 Jun 2020, 3:45 pm
SODRAC 2003 Inc., 2015 SCC 57 (CanLII), [2015] 3 SCR 615, <http://canlii.ca/t/gm8b0> that resulted in Rothstein, J. [read post]
29 May 2020, 5:02 am
/FL Mgmt., Inc. [read post]
28 May 2020, 8:23 am
The Autorité de la concurrence is seeking industry feedback to establish whether these new providers and services, and how they interact with old-fashioned bank efforts, bring up competition issues. [read post]
27 May 2020, 6:13 am
Selling away misconduct often occurs where brokerage firms either fail to put in place a reasonable supervisory system or fail to actually implement that system. [read post]
26 May 2020, 5:43 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Radoo was terminated by his prior employer, Next Financial Group, Inc. [read post]
19 May 2020, 9:01 pm
It was to avoid this sort of entanglement that the Second Circuit held in Commack Self-Service Kosher Meats, Inc. v. [read post]
15 May 2020, 7:50 am
Selling away misconduct often occurs where brokerage firms either fail to put in place a reasonable supervisory system or fail to actually implement that system. [read post]
14 May 2020, 7:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rollins has been terminated by his prior employer, Capital Investment Group, Inc. [read post]
13 May 2020, 11:23 am
According to BrokerCheck records, Lewis was formerly registered with FINRA member firm NYLife Securities LLC (NYLife Securities) and MetLife Securities Inc. [read post]
