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SEC Administrative Proceedings Against Public Companies for Failure to Remediate Material Weaknesses in Internal Control Over Financial Reporting
5 Feb 2019, 10:46 am by Jeffrey Fessler
Ms. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
Shepherd Smith Edwards & Kantas Investigates Cetera Investment Services and Mengxuan Zhang
19 Nov 2019, 7:12 am by Shepherd Smith Edwards & Kantas, LLP
Zhang has been suspended as a stockbroker/advisor by The Financial Industry Regulatory Authority Inc. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Erin Schneider Named Director of San Francisco Office
28 May 2019, 2:14 pm by Astarita
”Ms. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Case Study: Federal Embezzlement Charges Against California Controller. Top 5 Things to Learn From This Indictment
29 Nov 2021, 11:50 am by Green and Associates
Ms. [read post]
California Attorneys Representing Licensed, Regulated And Other Professionals - http://greenandassociates.blogspot.com/
ALJ Luckern Grants Motion To Compel In Certain Handbags And Luggage (337-TA-754)
3 Aug 2011, 8:55 am by Eric Schweibenz
Manufacturing, Inc. [read post]
ITC 337 Law Blog - http://www.itcblog.com
Governor Cuomo announced three appointments to the New York State Department of Financial Services
29 Jan 2016, 10:00 pm by The Public Employment Law Press
Ms. [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
Malecki Law Announces Filing of a Civil Complaint with FINRA Against MetLife Securities, Inc.
7 Dec 2011, 8:25 am by Heather Young
  It is alleged that these notes were part of yet another "Ponzi" scheme in what Ms. [read post]
Legal Radar - http://www.legalradar.com/
Council of Institutional Investors Presses SEC for Guidance on Interim Vote Tallies
27 Apr 2014, 6:00 am by Amy L. Goodman, Gibson, Dunn & Crutcher LLP,
The following post is based on a Gibson Dunn alert by Ms. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
FINRA Bars Former Morgan Stanley and Wells Fargo Brokers
11 Oct 2018, 10:58 am by ccollins
He later went on to work at other financial firms, including UBS PaineWebber, Prudential Securities, Wachovia Securities, Citigroup Investment Services, Great Western Financial Securities Corp., and Euro-Atlantic Securities Inc. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Struggling Massachusetts bio-tech firm files for bankruptcy
30 Mar 2011, 4:18 am by doug
PeptiImmune, Inc., a Massachusetts biotech concern, has had to declare Chapter 7 bankruptcy. [read post]
Bankruptcy Topics - http://www.douglasbeaton.com
Contractual Impartiality Requires an Appraiser to be Unbiased, Disinterested, and Unswayed by Personal Interest
25 Feb 2020, 10:17 am by Unknown
Ass’n Inc., 444 P.3d 784 (Colo. [read post]
Colorado Construction Litigation - http://www.coloradoconstructionlitigation.com/
Former Waddell & Reed and Merrill Lynch Stockbroker Fined and Suspended for Misconduct
6 Oct 2013, 12:42 pm by Adam Gana
According to the letter of acceptance, waiver and consent (“AWC”) submitted by Ms. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Indiana Copyright Litigation: J & J Sports Sues Estrella for Unlawful Interception and Broadcast
30 May 2014, 7:42 am
Specifically, Ms. [read post]
Indiana Intellectual Property Lawyer Blog - http://www.iniplaw.org/
Another Food Safety Lawsuit
8 Dec 2009, 11:27 am
Each time Ms. [read post]
The United States Agricultural & Food Law and Policy Blog - http://www.agandfoodlaw.com/
Visa for Life
14 May 2007, 10:04 am
" Ms. [read post]
Credit Slips - http://www.creditslips.org/creditslips/
$89K manager may not be FLSA-exempt, court rules
12 Feb 2016, 3:30 am by Robin Shea
A federal judge in Maine ruled that Bottomline Technologies, Inc., a financial processing services company, will have to face a jury trial on the wage-and-hour claims of Debra* Colello, a former client relations manager for the company. [read post]
Employment & Labor Insider - http://www.employmentandlaborinsider.com/
The Investment Stewardship Ecosystem
24 Jul 2018, 6:29 am
Novick, Ms. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Morgan Stanley Sued by MetLife for Securities Fraud Over $757 Million in Residential Mortgage-Backed Securities
28 Apr 2012, 8:50 pm
Allstate has also filed RMBS lawsuits against other financial firms, including Merrill Lynch (MER) units, Citigroup Inc. [read post]
Institutional Investor Securities Blog - http://www.institutionalinvestorsecuritiesblog.com/
Guest Post: The SEC’s Renewed Focus on Financial Reporting and Financial Fraud
19 May 2016, 2:33 pm by Kevin LaCroix
Ceresney and Ms. [read post]
The D & O Diary - http://www.dandodiary.com/
Delaware Decision Deals with Director Independence
15 Oct 2021, 6:18 am
Lutnick had a far larger economic interest in the target company, Berkeley Point Financial LLC (“Berkeley Point”), than in the acquiring company, BGC Partners, Inc. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov