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24 Feb 2021, 7:02 am
David Lerner’s recommendations to purchase and hold speculative Puerto Rico municipal bonds and its repeated recommendations to concentrate the customer’s investment accounts into speculative junk bonds were unsuitable and not in the customer’s best interest in light of the customer’s investment objectives and “middle ground” risk tolerance. [read post]
14 Dec 2021, 8:50 am
Nevertheless, there is federal court precedent holding that compilations of information may qualify as a trade secret, even though the information compiled would not qualify as a trade secret alone. [read post]
7 Jul 2015, 7:07 am
In other words, the club owners chose to allow drunk customers to take drinks on the dance floor. [read post]
20 Feb 2024, 5:24 pm
Iorio Altamirano LLP and its experienced GWG Holdings L Bonds attorneys, representing retail investors nationwide, continue to investigate and file claims against Ausdal Financial Partners, Inc. for its sale of speculative, high-risk, illiquid, high-commission, and unrated GWG L Bonds to retail investors. [read post]
27 Dec 2017, 7:37 am
In May 2017, a customer alleged she was overcharged for trades. [read post]
16 Feb 2021, 1:30 pm
He was formerly in the employment of Concorde Investment Services, LLC and Triad Advisors, Inc. between April 2006 and April 2018. [read post]
16 Feb 2021, 1:30 pm
He was formerly in the employment of Concorde Investment Services, LLC and Triad Advisors, Inc. between April 2006 and April 2018. [read post]
23 Jan 2018, 8:16 am
Celling knows he might get fired from Duncey’s Caps, Inc. if he doesn’t get his numbers up in 2018. [read post]
3 Jul 2022, 8:00 am
Visit GWG Holdings, Inc. and GWG Holdings L Bonds for more information. [read post]
2 Jul 2019, 12:51 pm
Further, FINRA also found that from June 2015 through March 2018, Summit allegedly failed to reasonably supervise its representatives’ use of “consolidated reports,” documents provided to customers summarizing the customer’s financial holdings, including assets held away from the firm. [read post]
12 May 2016, 4:05 am
In Rock Church, Inc. v Venigalla, (Sup. [read post]
4 Oct 2021, 11:59 am
The courts dismissed the case — holding that the action was barred by the Kessler Doctrine. [read post]
26 Dec 2019, 9:02 am
Advisor Steven Netzel (Netzel), formerly employed by Kalos Capital Inc. [read post]
17 Dec 2018, 6:00 am
This hack follows other breaches this year at Macy’s Inc., Sears Holdings Corp., Kmart and Best Buy Co., Inc., among others. [read post]
26 Feb 2011, 3:12 pm
Motorola Mobility Holdings Inc. filed a lawsuit challenging TiVo Inc. [read post]
7 Jul 2014, 10:59 am
Carriers, Inc., Case no. 4:14-CV-750-JAR (E.D. [read post]
31 Oct 2011, 12:36 pm
Larger ones were those involving Lehman Brothers Holdings Inc., Conseco Inc., CIT Group Inc., and Washington Mutual Inc. [read post]
24 Feb 2016, 12:21 pm
Ameri-Sources International Inc., Ameri-Source Specialty Products Inc., Ameri-Source Holdings Inc., and SMC Machining LLC, all based in Pennsylvania, allegedly perpetrated the antidumping evasion from December 2009 until March 2012. [read post]
3 Jan 2023, 2:00 am
Amy Perifanos is the Vice President of Strategy & Implementation at Gongos, Inc., a Michigan-based consultative agency whose mission is to reorient the relationship between customers and corporations to be mutually beneficial. [read post]
11 Dec 2017, 9:25 am
The woman filed a complaint Nov. 6 in Orange County Circuit Court against McDonald’s Restaurants of Florida Inc., alleging failure to exercise reasonable care for the safety of customers. [read post]
