07/09/2018
Arendell is seeking compensatory damages in excess of $50,000, punitive damages, and lawyer fees and costs, according to the publication. Arendell is also seeking a trial by jury, the Record writes.
07/06/2018
The regulator will begin conducting reviews within 15 days after a firm applies to register an individual with FINRA, something that was previously done annually.
07/06/2018
A federal appeals court in another case tossed out the conviction of another trader, Jesse Litvak — and that prompted Gramins’s judge to follow suit.
07/06/2018
The United States’ most nebulous jurisdiction has backed a bid in Congress to create a beneficial ownership register.
07/06/2018
The ruling only applies to the state of Georgia but it could be used by other courts as well as industry panels for similar cases, Bloomberg writes.
07/04/2018
While the state-court ruling applies only in Georgia, other courts and industry panels could refer to it in ruling on similar cases.
07/03/2018
Colonial, based in Montgomery, Ala., had been among the 25 largest US banks, while Ocala, Fla.-based Taylor Bean was the nation’s 12th-largest mortgage lender.
07/03/2018
Mason Capital filed a notice of intent seeking a resolution through the Investor-State Dispute Settlement mechanism
07/02/2018
The SEC’s investigation has been conducted by David Oliwenstein, David Stoelting, Roseann Daniello, and Steven G. Rawlings, and supervised by Sanjay Wadhwa.
07/02/2018
Morgan Stanley previously repaid the four advisory clients in full plus interest.
06/29/2018
Since 1992, the Commission has issued more than 300 exemptive orders allowing ETFs to operate under the Investment Company Act.
06/29/2018
BT Wealth Management was the highest ranked Atlanta firm in the $500 million-plus club.
06/29/2018
The proposed rules would, among other things, provide the Commission with additional tools in making whistleblower awards to ensure that meritorious whistleblowers are appropriately rewarded for their efforts
06/28/2018
The claimant's broker at UBS has 183 disclosures on his BrokerCheck report
06/28/2018
The two companies are very well suited for one another.
06/27/2018
Hedge funds run by Christopher Hohn and Dinakar Singh accused one of India’s largest real estate developers IREO Management of defrauding its foreign investors of at least $1.5 billion. “If we do nothing, we will largely bleed dry and get not
06/26/2018
Misconduct Imposed Substantial Costs on Retail Customers
06/26/2018
According to Laver, the bank deliberately agreed to the recruiting deal rather than selling the unit as a formal sale would have led to a change of control requiring the payments.
06/26/2018
This new development may negatively affect New York art merchants, who often arrange shipments of out-of-state deliveries using fine art carriers.
06/26/2018
Trusts only have to reveal that they exist when they voluntarily file a tax return to the Canada Revenue Agency.