Search for: "SEC v. National Securities, Inc."
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3 May 2012, 7:06 am
The case is SEC v. [read post]
28 Jun 2018, 5:32 am
(FINRA National Adjudicatory Council Decision, Complaint No. 2009017440201 / March 15, 2017)https://www.finra.org/sites/default/files/NAC_2009017440201_Ottimo%2C_031517_0.pdfAs set forth in the preamble of the SEC Opinion:Louis Ottimo, a former registered representative with EKN Financial Services Inc. (“EKN”), a former FINRA member firm, seeks review of a FINRA disciplinary action finding that he fraudulently omitted information from his biography in a… [read post]
11 Jan 2014, 9:43 am
(John Elwood) As promised, here is the brief submitted by a second group of professors, together with former SEC Commissioners, in Halliburton Inc. v. [read post]
14 Aug 2012, 5:01 am
In Finn v. [read post]
14 Dec 2010, 1:41 am
See Office Depot, Inc. v. [read post]
25 Nov 2015, 2:04 pm
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
FINRA Proposal Giving Collective Actions Exemption from Arbitration Gains SEC’s Accelerated Approval
24 Apr 2012, 11:13 am
Brill Securities, Inc. [read post]
18 Jun 2015, 4:00 am
Inc. v. [read post]
29 Aug 2016, 4:00 am
[The National Association for Fixed Annuities, et al, v. [read post]
22 Jan 2021, 7:56 am
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
1 Sep 2020, 6:23 am
In addition, a petition for a writ of certiorari was filed in National Retirement Fund v. [read post]
28 Nov 2011, 11:55 pm
Ebay Inc. v. [read post]
22 Jul 2022, 9:06 am
In SEC v. [read post]
5 Jul 2010, 8:58 pm
Sec. [read post]
29 Jun 2022, 1:31 pm
Supreme Court’s ruling in Digital Realty Trust, Inc. v. [read post]
23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New Hampshire in… [read post]
1 Nov 2021, 1:04 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
22 Apr 2015, 2:13 pm
Supreme Court’s 2014 ruling in Lawson v. [read post]
17 Apr 2010, 5:00 am
In Standard Investment Chartered, Inc., v. [read post]
27 Feb 2023, 9:01 pm
Dapper Labs, Inc., denying Dapper Labs and its CEO’s motion to dismiss a putative securities class action. [read post]
