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2 Oct 2019, 10:21 am
NantKwest, Inc. [read post]
1 Oct 2019, 11:49 am
Challenges associated with the OPC’s changes of position The OPC’s guidelines, while important and useful tools to interpret PIPEDA, are not legal precedent and therefore may be more freely subject to change. [read post]
30 Sep 2019, 12:44 pm
Shipman Associates, LLC (here). [read post]
30 Sep 2019, 5:41 am
The SEC’s complaint alleges that from July 2015 through July 2018, Conwell and Hoffman raised over $3.3 million from approximately 46 investors through the sale of unregistered GT Media, Inc. securities. [read post]
29 Sep 2019, 5:32 am
From December 2006 to December 2018, Crane was associated with Questar Capital Corporation. [read post]
27 Sep 2019, 9:05 am
According to BrokerCheck records financial advisor Michael Sims (Sims), formerly employed by Wedbush Securities Inc. [read post]
27 Sep 2019, 6:00 am
Securities and Exchange Commission, on Friday, September 20, 2019 Tags: Banks, Financial crisis, Financial institutions, Financial regulation, Investor protection, Liquidity, Moral hazard, Securities regulation, Systemic risk, Volcker Rule Trading and Arbitrage in Cryptocurrency Markets Posted by Igor Makarov (London School of Economics) and Antoinette Schoar (MIT), on Saturday, September 21, 2019 … [read post]
26 Sep 2019, 9:10 am
The securities lawyers of Gana Weinstein LLP are currently investigating customer complaints against broker John Boatright (Boatright), formerly associated with Newbridge Securities Corporation (Newbridge Securities) out of Duluth, Georgia. [read post]
25 Sep 2019, 10:41 pm
The resorts ended up in receivership, and Quiros and Stegner were accused of having diverted investor funds, with the assistance of a registered representative at the investment bank of Raymond James & Associates, Inc. [read post]
25 Sep 2019, 3:58 pm
Employers should keep in mind that employers bear the burden of proof when raising the White Collar or other exemptions as a defense to a minimum wage, overtime, recordkeeping or other FMLA violation.Employers staffing or making use of labor or services provided by employee leasing, temporary staffing, day labor, contractors, or other contingent worker sources also are encouraged to keep in mind the growing aggressiveness by WHD and private litigants in challenging and obtaining… [read post]
25 Sep 2019, 7:07 am
The law offices of Gana Weinstein LLP are investigating broker Marc Korsch (Korsch), currently associated with Centaurus Financial, Inc. [read post]
24 Sep 2019, 7:51 am
Scott Silver is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
24 Sep 2019, 3:56 am
The law offices of Gana Weinstein LLP is currently investigating advisor Anthony Conti (Conti), currently associated with Boenning & Scattergood, Inc. [read post]
23 Sep 2019, 6:51 am
Without admitting or denying the allegations, Heiden consented to the sanctions and to the entry of findings that he engaged in unauthorized trading in the accounts of two elderly customers.For the full FINRA Disciplinary Report, please click here.Pennsylvania & New Jersey Securities Litigation FirmIf you or someone you know has been the victim of investment fraud or broker misconduct, please contact our attorneys immediately for a free consultation at 215 462 3330 or by using… [read post]
23 Sep 2019, 6:23 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Richard Cagle (Cagle), formerly employed by Hilltop Securities Independent Network Inc. [read post]
23 Sep 2019, 6:23 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
22 Sep 2019, 11:29 am
Blutstein, formerly registered with American Portfolios Financial Services, Inc. [read post]
21 Sep 2019, 2:31 pm
Based on an aggregate review of the abridged listing through the lens of Q3 2019, the following findings, data points, and tracking charts may be useful for understanding M&A+I activity patterns in the eDiscovery ecosystem from July 1, 2019, through September 21, 2019. [read post]
21 Sep 2019, 6:17 am
Securities and Exchange Commission from Kenneth A. [read post]
20 Sep 2019, 11:22 am
The law offices of Gana Weinstein LLP are currently investigating advisor Paul Soll (Soll), formerly registered with Western International Securities, Inc. [read post]
