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SEC Acting Enforcement Chief Speaks on Past Year’s Achievements
7 Nov 2024, 9:01 pm by renholding
But that program only works if whistleblowers have unfettered ability to share with the SEC information about possible securities law violations. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions
31 Oct 2024, 2:15 pm by Mark Astarita
Morgan Securities LLC (JPMS) and J.P. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2024
2 Oct 2024, 8:39 am by Silver Law Group
Ameriprise Financial Services, LLC Barak Rebibo J.P. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2024
2 Oct 2024, 7:23 am by Silver Law Group
Sean Mostero LPL Financial LLC Cetera Advisors LLC Shoaib Qureshi J.P. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Christian De Berardinis, Morgan Stanley, Suspended
20 Sep 2024, 10:27 am by The White Law Group
MORGAN SECURITIES LLC (CRD#:79), MIAMI, FL Free Consultation with National Securities Attorneys   If you have suffered investment losses with Christian De Berardinis and Morgan Stanley, the securities attorneys at the White Law Group may be able to help you. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC Fines Firms for Impeding Whistleblowing in Confidentiality Agreements
5 Sep 2024, 1:05 pm by Geoff Schweller
Morgan Securities LLC $18 million over charges that it impeded the ability of advisory clients and brokerage customers to blow the whistle to the SEC. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2024
5 Sep 2024, 8:43 am by Silver Law Group
Morgan Securities LLC   Zayed Regalado   NYLife Securities LLC   Jeffery Sanders   Woodmen Financial Services, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules June 2024
10 Jul 2024, 7:18 am by Silver Law Group
Morgan Securities LLC   First Republic Securities Company, LLC   Annie Simons For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information June 2024
9 Jul 2024, 9:49 am by Silver Law Group
  Key Investment Services LLC Shaquane Smith-Thompson   J.P. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2024
7 Jun 2024, 7:05 am by Silver Law Group
Morgan Securities LLC   Brittany Anderson   Gianluca De Berardinis   Morgan Stanley   Quad Capital, LLC   Brian Hill   Monu Joseph   Rosenblatt Securities Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement May, 2024
7 Jun 2024, 6:44 am by Silver Law Group
Morgan Securities LLC   UBS Financial Services Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Court granted school district's motion for summary judgment dismissing the petitioner's complaint based on the school district argument that it could not be held liable as the school district did not owe a special duty of care to the petitioner
28 May 2024, 6:00 am by Public Employment Law Press
IANNACCI, J.P. [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
Court granted school district's motion for summary judgment dismissing the petitioner's complaint based on the school district argument that it could not be held liable as the school district did not owe a special duty of care to the petitioner
28 May 2024, 6:00 am by Public Employment Law Press
IANNACCI, J.P. [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
FINRA Suspends Broker Kwame Adusei After Unauthorized Transactions and Unsuitable Recommendations Allegations
3 May 2024, 11:49 am by Silver Law Group
Morgan Securities LLC (CRD#:79) of Brewster, NY, and Wells Fargo Advisors, LLC (CRD#:19616) of Chappaqua, NY. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
CFTC Launches Probe Over NDAs Which Restrict Whistleblowing
24 Apr 2024, 12:17 pm by Geoff Schweller
Morgan Securities LLC in which the company agreed to pay $18 million to settle charges that it impeded the ability of advisory clients and brokerage customers to blow the whistle to the SEC. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement April, 2024
22 Apr 2024, 12:35 pm by Silver Law Group
Morgan Securities LLC Kevin Arvoy D.A. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information April 2024
19 Apr 2024, 2:04 pm by Silver Law Group
Morgan Securities LLC Wells Fargo Clearing Services, LLC John Kersey Northwestern Mutual Investment Services, LLC Robert W. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information March 2024
19 Apr 2024, 1:43 pm by Silver Law Group
National Securities Corporation Isaiah Frection NYLife Securities LLC Richard Goldston Edward Jones Johnathan Hagood Wells Fargo Clearings Services, LLC Adriano Schultz J.P. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules March 2024
19 Apr 2024, 1:34 pm by Silver Law Group
Morgan Securities LLC Brittany Anderson Gianluca De Berardinis Morgan Stanley Quad Capital, LLC Brian Hall Monu Joseph Rosenblatt Securities Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Federal jury convicts man for insider trading on info about acquisition of Integrated Device Technology
11 Apr 2024, 10:55 am by jeffreynewmanadmin
Morgan Securities LLC. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/