Search for: "SEC v. National Securities, Inc." Results 41 - 60 of 482
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25 Nov 2015, 2:04 pm by Ronald Mann
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
22 Jan 2021, 7:56 am by John Jascob
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]
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 by The White Law Group
  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]
27 Feb 2023, 9:01 pm by renholding
Dapper Labs, Inc., denying Dapper Labs and its CEO’s motion to dismiss a putative securities class action. [read post]
26 Sep 2019, 8:35 am by Astarita
The bill comes on the heels of the similar Whistleblower Protection Reform Act of 2019 (H.R.2515), passed in the House in July by an overwhelming bipartisan majority.Like the House bill, the Senate bill would effectively reverse the Supreme Court decision in Digital Realty Trust Inc. v. [read post]