On Sept. 13, 2011, the Securities and Exchange Commission ("SEC") announced the formation of the Advisory Committee on Small and Emerging Companies ("Advisory Committee") to focus on interests and priorities of small businesses and smaller public companies; pointedly the mandate was to advise on rules, [...]
It's not that I ever had an idyllic view of Alaska. I mean, sure, at one time I may have thought that there were polar bears roaming the streets, mixed in with a lot of crusty gold prospectors, and, of course, Sgt. Preston of the Yukon was likely ambling around on patrol with Rex and King. More recently, I have this image of Sarah Palin staring [...]
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Wai Keung Man submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. In the [...]
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in 2008, and as amended thereafter, Claimants asserted causes of action among which were breaches of contract and fiduciary duty; negligence; and fraud in connection with investments in, among other securities, E*Trade Financial, [...]
Steven Robert Tomlinson entered the financial industry in 1981, and over a 20 year span worked for various firms before joining a Corning , NY credit union in 2001 as a financial advisor in its investment services group -by 2003, he became the group manager. During the relevant times in this matter, the credit union was [...]
In a Financial Industry Regulatory Authority ("FINRA") ArbitrationStatement of Claim filed in March 2012, Claimant Charles Schwab sought damages, attorneys' fees, costs, and the disgorgement of salary and benefits as a result of, among other causes of action cited, breaches of fiduciary duty and contract, tortious [...]