In a Financial Industry Regulatory Authority ("FINRA") ArbitrationStatement of Claim filed in July 2010 and amended thereafter, Claimant McFadden asserted
In a dramatic Eastern District of New York Opinion by Judge Matsumoto, the Apple REITs class action Defendants' Motion to Dismiss was granted. David Lerner Associates and the Apple REITs emerge victorious in this contentious and high-profile class action. Read the Memorandum and [...]
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, Taylor C. Parkin submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA [...]
I am frequently asked by the press for my opinion about the latest, greatest insider trading case - which, apparently, is whichever case was most recently filed by the Department of Justice or the Securities And Exchange Commission. A while back it was Martoma. Then it was Conradt and Weishaus. And let's not forget all the [...]
In yet another example of Silicon Valley and Wall Street colliding, on April 2, 2013, Zanbato Inc., a Silicon Valley technology company, announced the world's first on-line investment platform for infrastructure, energy, and natural resources. Following regulatory approval by the Securities and Exchange Commission and the Financial Industry [...]
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, Ralph William Hicks Jr., submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA [...]
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, Casi Marie Martin submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA [...]
In a Financial Industry Regulatory Authority ("FINRA") ArbitrationStatement of Claim filed in July 2011, Claimant Koh asserted causes of action including breach of contract, quantum meruit, and wrongful termination in connection with her former employment with Respondent Barclays Capital. Claimant sought $331,250 in [...]
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, [...]