Search for: "Jeffery, Inc."
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3 Jan 2012, 8:00 am
Jefferies Group Inc. and Nasdaq OMX Group Inc. agreed to go to arbitration to resolve a fraud lawsuit filed by Jefferies over interest-rate swap futures contracts. [read post]
14 Apr 2011, 12:14 pm
FINRA announced that it fined Jefferies & Company, Inc. $1.5 million for failing to disclose additional compensation received and conflicts in connection with the sale of auction rate securities (ARS). [read post]
19 Jul 2017, 8:11 am
EBA Engineering Inc. has promoted Jeffery Evans, PE to structural engineering department manager. [read post]
9 Apr 2018, 10:02 am
Jeffery Alan Fanning, according to FINRA records online, was previously registered with Kennedy, Cabot & Co., Rowland, Simon & Co., Stifel, Nicolaus & Company, Inc., Wilshire Discount Securities, Thomas F. [read post]
11 Oct 2011, 2:10 pm
In addition, according to FINRA records, Jeffery Ogle is already facing at least one securities arbitration claim alleging that, among other things, he sold unsuitable investments in Masterbuilt Estate Homes, Inc., a real estate development company which is purportedly owned by Jeffery Ogle's father. [read post]
18 Oct 2015, 6:43 am
Jeffery entered the securities industry in 1992 with Paulson Investment Company, Inc until April 2012. [read post]
4 Dec 2006, 9:55 pm
Jefferies Company, Inc. reached a settlement with the SEC and NASD relating to the activities of a former employee who was dismissed by Jefferies Company in 2004. [read post]
29 Jun 2010, 3:09 pm
On June 28, 2010, the SEC filed a civil action in the United States District Court for the Central District of California charging Life Wealth Management, Inc. and its owner Jeffery S. [read post]
26 Aug 2011, 10:29 am
O'Neil/Associates Inc., World Outlook, World Outlook Management and Universal Restoration, none of which were licensed by the Texas Office of Consumer Credit Commissioner, according to the indictment. [read post]
26 Aug 2011, 10:29 am
O’Neil/Associates Inc., World Outlook, World Outlook Management and Universal Restoration, none of which were licensed by the Texas Office of Consumer Credit Commissioner, according to the indictment. [read post]
26 Aug 2011, 10:29 am
O'Neil/Associates Inc., World Outlook, World Outlook Management and Universal Restoration, none of which were licensed by the Texas Office of Consumer Credit Commissioner, according to the indictment. [read post]
17 Aug 2012, 11:44 am
A federal appeals court on Friday upheld the conviction of a former portfolio manager at Jefferies Group Inc.'s asset-management unit convicted of insider trading two years ago, but said he didn't have to forfeit any money for now. [read post]
24 Aug 2020, 6:00 am
In this case, Jefferies Financial Group Inc. [read post]
20 Jun 2023, 1:21 pm
In addition, Jeffery D. [read post]
13 Sep 2022, 5:35 am
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms…Read the Full Press ReleaseHave a securities law question? [read post]
20 Aug 2018, 10:47 am
Jeffery J. [read post]
28 Oct 2007, 9:02 pm
In the filing, ARYx indicated that Morgan Stanley, CIBC World Markets, Jefferies & Co, and Leerink Swann... [read post]
14 Mar 2008, 11:15 pm
The always-insightful New York Times Magazine has an interesting article on the Court entitled “Supreme Court Inc. [read post]
21 Sep 2022, 12:37 pm
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms with failing to comply with municipal bond offering disclosure requirements. [read post]
20 Jan 2009, 11:15 pm
The Charlottesville Daily Progress reports today that Jeffery King, a Baptist pastor who also worked at a Charlottesville, Virginia pharmacy services facilty of Cardinal Health, Inc., has filed a Title VII religious discrimination lawsuit against his former employer in federal district court. [read post]
