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4 Apr 2020, 1:23 pm by Eric C. Chaffee
Crawley, Note, A Security by Any Other Name: An Inquiry into Staking Agreements as Securities, 9 UNLV Gaming L.J. 201 (2019). [read post]
23 Nov 2016, 9:45 am by rexsecuritieslaw
November 2016-Plano, Texas/Culver City, CA VFG Securities, Inc. and its owner, Jason Vanclef, reached a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by the securities industry regulator that he and his firm had overly concentrated customer accounts in illiquid investments and used a book Vanclef had written, “The Wealth Code” to … Continue reading VFG Securities-Jason Vanclef-Sanctioned by Securities… [read post]
22 Apr 2014, 1:29 pm by Eric C. Chaffee
Ramirez has posted The Virtues of Private Securities Litigation: An Historic and Macroeconomic Perspective on SSRN with the following abstract: In the wake of the Great Depression, the federal securities laws operated to mandate disclosure of material facts... [read post]
8 Jan 2014, 12:24 pm by Eric C. Chaffee
Wendy Gerwick Couture has posted Around the World of Securities Fraud in 80 Motions to Dismiss with a Data Set Appendix on SSRN with the following abstract: Motions to dismiss are the litmus test in securities fraud class actions. [read post]
24 Apr 2011, 6:49 am by Securites Lawprof
Class Conflict in Securities Fraud Litigation, by Richard A. [read post]
28 Apr 2014, 1:54 pm by Eric C. Chaffee
Jill Gross has posted The Improbable Birth and Conceivable Death of the Securities Arbitration Clinic on SSRN with the following abstract: This article explores the birth. life and possible death of the securities arbitration clinic (SAC), a law school clinic... [read post]
18 Apr 2013, 7:11 pm by Roy Ginsburg
“I have a secure in-house job. [read post]
12 Jun 2017, 7:16 am by Fitapelli Kurta
It is registered with the Securities and Exchange Commission and FINRA. [read post]
22 Jan 2008, 2:31 am
Security, generally: I often link to and cite Bruce Schneier as a solid, reasonable voice where e-security is involved. [read post]
2 Aug 2018, 10:35 am by The Law Office of Philip D. Cave
For the past two years, the Defense Security Service (DSS) has been advising security officers to submit periodic reinvestigations for Tier 5 (Top Secret) investigations at the 6 year mark, rather than 5 years. [read post]
13 Aug 2014, 6:30 am by Daniel Martin - Solicitor
The debenture will grant the lender security over your assets until the borrowed money is paid back in full. [read post]
20 Jul 2012, 7:41 am by Erich Fabricius
In the legal lingo, these are all "secured transactions" aiming to create secured debts. [read post]
6 Mar 2020, 6:17 am
Toshiba Corp., found that a foreign issuer could be liable under US securities laws for a sale of its securities in the US, even if the company was not involved in the sale. [read post]
8 Jun 2013, 9:13 am by Jonathan
The post How to Coordinate Social Security Disability with Social Security Retirement Benefits appeared first on Social Security Disability Blog. [read post]
11 Aug 2010, 5:30 am
Thus, the claim fell within CAFA’s securities exception. [read post]
16 Nov 2015, 2:35 pm by rexsecuritieslaw
August 12, 2015- Dallas, Texas VCA Securities  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2012 to June 2014 VCA failed to have an adequate supervisory system and control procedures designed to review and monitor the transmittal of funds from customer accounts … Continue reading Dallas Based VCA Securities Censured by Securities… [read post]
17 Jun 2015, 8:54 am by rexsecuritieslaw
The findings in Disciplinary Proceeding No. 2011025318202, include: Between 2/2010-3/2012 Garden … Continue reading Garden State Securities Sanctioned by Securities Regulators → [read post]
5 Feb 2015, 1:43 pm by rexsecuritieslaw
In addition, … Continue reading Souza Barros Securities Sanctioned by Securities Regulator → [read post]