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19 Nov 2020, 12:24 pm
FINRA Reportedly Suspends David “Todd” Phillips for Alleged Sales of Future Income Payments According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has reportedly suspended financial advisor David Todd Phillips and fined him $5,000 after allegations of private securities transactions. [read post]
31 Aug 2015, 5:37 pm
By David Swedelson, Partner at SwedelsonGottlieb, Community Association Attorneys If you thought that the laws in other states regarding condos and HOAs were the same as ours, you were way wrong. [read post]
25 Oct 2008, 5:57 pm
Holtzman (argued) and David R. [read post]
18 Mar 2011, 4:20 pm
In 2004, the NASD fined David Lerner Associates for sales contests that promoted certain proprietary mutual funds, variable annuity, and variable life insurance products. [read post]
15 Jul 2008, 1:23 am
In the shadow of an economy that hasn't spared the legal industry as it spirals ever downward, David Newdorf decided to leave his government job and go into business for himself. [read post]
1 Aug 2010, 9:12 am
One week before the May 27 announcement of its disappointing quarterly numbers and subsequent drop in share price, David Stern himself was marketing in New York stating that the business was doing well and that everything was fine. [read post]
30 Jun 2011, 6:54 am
The one-count indictment, returned on June 28, named Todd R. [read post]
4 Apr 2014, 7:34 pm
It comes with little or no jail time and lower fines. [read post]
12 Dec 2015, 9:34 am
The investment fraud attorneys at Malecki Law are investigating potential claims by investors against Morgan Stanley stockbroker David H. [read post]
12 Feb 2012, 8:03 pm
Calling this time factor "critical," the NHTSA Administrator David Strickland stated that the agency "expects all manufacturers to address automotive safety issues quickly and in a forthright manner. [read post]
22 Feb 2017, 10:28 pm
As Councils are bringing more and more prosecutions and as Magistrates Courts fines are now unlimited, this is now a very important topic indeed. [read post]
11 Dec 2013, 1:39 pm
District Judge David R. [read post]
6 Jun 2010, 6:14 pm
Lubetkin a $20,000.00 fine. [read post]
1 Apr 2013, 10:39 am
On March 29, 2013, Jeffrey David Gunselman was sentenced to one hundred and eighty-eight (188) months in prison, fined $175,000.00 and ordered to pay more than $54,900,000.00 in restitution, byUnited States District Judge Sam R. [read post]
19 Jul 2016, 2:33 pm
According to FINRA, David Michael Miller (CRD #5461431, Columbus, Ohio) recently was barred from association with any FINRA member in any capacity, required to pay a total of $799,161.07, plus interest, in restitution to customers, and required to disgorge to FINRA a fine of $15,161.54, plus interest. [read post]
4 May 2015, 6:33 am
" Crosby, Stills and Nash played in Milwaukee last night.A stray quoted from David Crosby: "These songs kept coming. [read post]
25 Nov 2019, 9:17 am
FINRA also purportedly fined Kendrick $30,000. [read post]
21 Dec 2018, 3:44 pm
David Boise and Richard Posner care. [read post]
26 Jan 2015, 10:03 pm
David Vitter (R-LA) introduced a bill this past week that would amend the Federal Food, Drug, and Cosmetic Act to ensure the safety of imported seafood. [read post]
30 May 2013, 9:36 am
On May 13, 2013, Cox filed a complaint in federal court against me, and against a bunch of fine people (WIPO, Peter Michaelson, Marc Randazza, Kashmir Hill, Forbes, Kevin Padrick, David Aman, David [...] [read post]
