Search for: "Singer v. United States"
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26 Apr 2019, 1:47 am
Federal Court Remands SEC's Willfulness Findings in Robare Form ADV Case (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4567/sec-robare-scienter/Unless you do Wall Street regulatory law for a living, you may not appreciate the dramatic -- frankly, historic -- nature of a just-published Opinion by the United States Court of Appeals for the District of Columbia Circuit in Robare Group, Ltd. v. [read post]
4 Dec 2017, 3:41 am
(Complaint, United States District Court Southern District Of New York, 17-CV-09552),https://www.sec.gov/litigation/complaints/2017/comp-pr2017-223.pdf, the federal regulator alleged that ten customers of Four Points Capital Partners LLC (where the Defendants had worked) incurred $573,867 losses while Berkey and Fischer respectively earned about $106,000 and $175,000 in commissions. [read post]
4 Dec 2017, 3:41 am
Tao and Donna Boyd (f/k/a Donna Chen) (Complaint, United States District Court for the Southern District of Texas, Civil Action No. 4:17-cv-03678 ), Defendant Tao settled charges that he defrauded investors in Presidio Venture Capital by making material misstatements in offering documents and misappropriating investor funds. [read post]
22 Dec 2017, 8:44 am
Anvil Partners, Inc., (United States District Court for the Southern District of New York; 17-Misc-318) finding registered investment advisor Anvil Partners and its majority owner, president, and chief investment officer, Jeremy Beck, in civil contempt of court for failing to comply with the court's prior order enforcing a June 6, 2017, SEC investigative subpoena directed to Anvil. [read post]
8 Aug 2022, 4:02 am
Parietti's Predicament And Prosecutors' Puzzling Principles (BrokeAndBroker.com Blog)2Cir Vacates SDNY Jury Verdict Against UBS for Whistleblower RetaliationTrevor Murray, Plaintiff/Appellee/Cross-Appellant, v. [read post]
8 Jan 2018, 3:13 am
., Plaintiff/Appellant, v. [read post]
5 Jan 2018, 5:59 am
Naccarato (United States District Court for the Southern District of Florida, 17-CV-24682-JLK), the SEC alleged that in September 2013, California-based attorney Owen H. [read post]
27 Nov 2017, 4:28 am
,(United States District Court for the Southern District of New York, 16-cv-2779) the Town and the Ramapo Local Development Corp. (“RLDC”) are enjoined from further violations of the ’34 Act and subject to the following undertakings as set forth in the SEC Press Release:(a) requiring the Town and RLDC to retain an independent consultant (IC) with municipal finance experience appointed by the Court to review and recommend improvements to the Town's and… [read post]
26 Jun 2008, 10:02 pm
Three of the Big Four recording companies are based outside of the United States. [read post]
6 Sep 2017, 11:27 am
”) State of Ohio v. [read post]
31 Jan 2007, 10:12 am
"That basic proportionality argument did not persuade the state Supreme Court, when it was one of a number of arguments made on appeal in State v. [read post]
31 Dec 2010, 10:38 am
United States, 281 F.3d 158, 161 (5th Cir.2001)). [read post]
5 Jan 2018, 6:44 am
In United States v. [read post]
12 Aug 2020, 2:12 pm
Blue Cross Blue Shield of Michigan (Fiduciary Duty)Singer v. [read post]
31 Jan 2013, 7:24 am
Clark v. [read post]
12 Sep 2019, 1:02 pm
Under Title III of that act, United States citizens who had their property confiscated by the Castro regime were given the right to file suit against those who traffic in such properties (See Libertad Act §§ 301-306). [read post]
21 Sep 2017, 9:38 am
”) State of Ohio v. [read post]
29 Nov 2022, 4:13 am
NLRB v. [read post]
20 Feb 2013, 11:00 am
On Valentine’s Day, appropriately enough perhaps, Tiffany (the jeweler, not the singer) filed a complaint against Costco in the United States District Court for the Southern District of New York, asserting a variety of trademark-related causes of action. [read post]
11 Dec 2023, 4:23 am
United States Forest Service (2007), the U.S. [read post]
