Search for: "United States v. NASD, Inc." Results 1 - 20 of 25
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24 Oct 2007, 5:15 am
(NASD) and its subsidiary, NASDAQ Stock Market, Inc. [read post]
12 Jun 2018, 6:01 am
For today, we let the email speak for itself.United States of America v. [read post]
2 Apr 2007, 3:00 am
The New York Court of Appeals recently answered the following question certified from the United States Court of Appeals for the Second Circuit in Rosenberg v. [read post]
25 Aug 2011, 9:10 am
Glassman was featured in Barronand#39;s as the top female financial advisor in the United States, and according to her website, she andquot;has been listed consistently in the top third of Barronand#39;s 100 Best Brokers. [read post]
14 Jun 2010, 4:37 am
Availability of absolute or qualified privilege in judicial and quasi-judicial actionsRosenberg v Metlife, Inc, 8 NY3d 359The Rosenberg decision provides an opportunity to explore the issue of the “qualified immunity” and the “absolute immunity” of individuals in the public service sued for alleged libel or slander flowing from their performance of an official duty.The United States Court of Appeals for the Second Circuit asked the New York… [read post]
24 Jul 2007, 1:10 am
DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK Criminal Practice Memo Not Shown to Be Newly Discovered Evidence Or Exculpatory; Rule 33 New Trial Motion Denied United States v. [read post]
13 Nov 2012, 11:54 am
Many courts, including the United States Supreme Court, have recognized a private cause of action for violation of NASD and NYSE Rules, including a private cause of action for andldquo;the failure to supervise.andrdquo;andnbsp; See, e.g., Cook v. [read post]
20 Jun 2007, 1:16 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKCriminal PracticeDefendant Refusing to Cooperate With Counsel Competent; 'Precautionary' Exam, Testimony Noted United States v. [read post]
7 Aug 2007, 11:03 am
Petersburg, Florida, $2.75 million for failing to maintain adequate supervisory system to oversee the sales activities of over one thousand of its branch managers working throughout the United States. [read post]
19 Apr 2007, 1:17 am
COURT OF APPEALS, SECOND CIRCUITCriminal PracticeProbationer's Diminished Privacy Expectation, Reasonable Suspicion Justified Search Revealing Gun United States v. [read post]
5 Jun 2007, 1:00 am
COURT OF APPEALS, SECOND CIRCUITCriminal PracticeGambino Family RICO Convictions Based on Murder, Extortion Conspiracies Upheld; No Merit to Challenges United States, appellee v. [read post]