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2 Mar 2018, 1:54 pm
FINRA found that Perry over concentrated the customers’ accounts in precious metal sector securities, and that he recommended that the customers purchase and hold leveraged mutual funds and/or Exchange Traded Funds (ETFs) in their accounts for extended time periods of up to 963 days, which was unsuitable for his customers. [read post]
29 Aug 2013, 9:49 am
By Dennis Crouch Cisco Systems, Inc. v. [read post]
18 Oct 2021, 1:30 pm
The United States settled a civil fraud lawsuit against QUEEN APPAREL NY, INC. [read post]
23 Mar 2011, 7:50 pm
As discussed here, the initial public offering of Imperial Holdings, Inc., has attracted some attention, including a report in The Wall Street Journal that "Imperial Holdings Inc.'s stock closed" on February 8, 2011, "its first day as a public company. [read post]
4 Sep 2014, 10:46 am
Citigroup Global Mkts., Inc. v. [read post]
31 Aug 2012, 5:02 am
Plaintiff Micro Enhanced Technology Inc. [read post]
31 Aug 2012, 5:02 am
Plaintiff Micro Enhanced Technology Inc. [read post]
3 May 2013, 7:38 am
See In re: Vertrue Inc. [read post]
6 Oct 2020, 6:46 am
We have years of experience litigating under the False Claims Act by holding individuals and corporations accountable for fraud against the government. [read post]
11 Jan 2021, 8:55 am
TSI Accessories Group, Inc., a former jewelry importer, agreed to pay $402,637 to settle allegations that it violated the False Claims Act by failing to pay customs duties on sterling silver earring imports from China. [read post]
4 Apr 2012, 4:17 pm
In a press release issued yesterday, NCO Group announced that it had completed its merger with APAC Customer Services, Inc., and that Expert Global Solutions will act as the holding company for both NCO and APAC. [read post]
19 Oct 2015, 5:00 am
MF Global, Inc. was a futures commission merchant (FCM) that accepted deposits from customers to trade commodity futures. [read post]
24 Mar 2020, 6:35 am
Advisor Joseph Roop (Roop), formerly employed by Kalos Capital, Inc. [read post]
22 Jul 2023, 3:58 pm
” In finding no business relationship between Georgetown and its past customers, the Supreme Court distinguished a prior appellate decision, Insurance Field Services, Inc. v. [read post]
6 Nov 2014, 9:17 pm
However, customer was not holding the leash while at the counter. [read post]
10 Apr 2021, 6:51 am
Canterbury was a broker at Coastal Equities, Inc. from 2012 until 2020. [read post]
11 Mar 2019, 1:00 pm
Notable brokerage firms that sold the GPB Capital Holdings investments include Sagepoint Financial, Inc.; Woodbury Financial Services, Inc.; Royal Alliance Associates Inc.; National Securities Corporation; and FSC Securities Corp. [read post]
3 Aug 2009, 9:56 am
Earlier today, Cooper-Standard Holdings Inc. and 12 affiliates filed voluntary chapter 11 bankruptcy petitions in the United States Bankruptcy Court for the District of Delaware. [read post]
4 Jan 2019, 5:43 pm
Macy’s Retail Holdings, Inc. [read post]
10 Aug 2020, 11:06 am
[7] North American Securities Administrators Association, Inc [read post]
