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A man in his 50’s suffered from several injuries after a rear-end accident, while traveling on I-290 in Chicago. He was taken to Loretto Hospital, evaluated, and diagnosed with a rotator-cuff tear and lumbar strain. Ultimately, his injuries required surgery and three months of physical therapy. It was at this time, the the man contacted the experienced attorneys at the Staver Law Group.
The Financial Industry Regulatory Authority (FINRA) recently announced James J. Nixon (Nixon) entered into a Letter of Acceptance, Waiver and Consent to settle allegations he participated in private securities transactions by soliciting individuals to invest in convertible promissory notes without notice to his firm.
Given the volatility in the world over the past several years, I am seeing more security clearance cases as they relate to foreign influence and foreign preference. The United States government can express a concern regarding an individual’s access to classified material in the form of a secret or top-secret security clearance if it has concerns regarding the individual having ...
From the Desk of Jim Eccleston at Eccleston Law LLC: In considering the priorities for the upcoming year, The Office of Compliance Inspections and Examination (OCIE) of the SEC seeks to prevent potentially heightened risk for investors and the market in general. After consulting Commissioners, senior staff in SEC regional offices and divisions, and fellow regulators, OCIE de ...
Drug Court Works The Broward County Drug Court Treatment Program is a pretrial intervention program designed to break the cycle of drug addiction which is crippling the criminal justice system. Broward County’s Drug Court program is the second oldest in the State of Florida and the third oldest in the nation.
New Opportunities for Oil Industry Whistleblowers Recently we received a call from a gentleman who claims that U.S. oil companies are paying massive bribes in certain countries in the hopes of obtaining favorable treatment. We know that activity routinely occurs in certain South American countries be we haven’t heard of U.S. companies engaged in this behavior.
Florida’s licensing requirements for contractors is a complicated statutory framework. This complication was exemplified in the First District Court of Appeal’s decision in Taylor Morrison Services, Inc. v. Ecos, 163 So.3d 1286 (Fla. 1st DCA 2015), a case I believe leads to more questions than actual answers relating to the status of a contractor’s qualifying agent.
It Ain’t Over Until It’s Over: Under Rule 35 a Federal Sentence may be Lowered like a 5k1 As many know, under the federal system the most powerful departure from the United States Sentencing Guidelines exists under U.S.S.G. 5k1. This departure is warranted in cases where a defendant provides ‘substantial assistance’ to the Government.
As another year passes, another LegalTech NYC. And as is tradition, the post you’ve been waiting for – the third annual LegalTech NYC Best Swag article. For the past few years, I’ve realized there isn’t much to say about LegalTech for solos and small firms – it’s a conference with some CLEs and some exhibitors primarily geared towards an audience of Biglaw and in-house counsel.
Compliance Officers: Heroes or Targets? February 6, 2016 by Brian Mahany Compliance officers are getting a lot of press these days. Not all of it good. A series of recent enforcement actions found individual compliance officers personally liable for the misdeeds of their company. A recent Wall Street Journal article says that some folks are so frightened that they are leaving the profession.
Marietta, Georgia Rex Securities Law is investigating VSR Financial Services broker Parks H. Brown, Jr. in connection with the sale of unsuitable investments including options, penny stocks and common and preferred equities. According to FINRA records Brown was named in a FINRA arbitration in 2014 (#14-1744) by a customer who alleged unsuitable investments, churning, unauth ...
Clearwater, Florida Rex Securities Law is investigating VSR Financial Services broker Nicholas M. Giallourakis of Engineered Financial Solutions in connection with the sale of various direct investments including real estate securities and limited partnership interests. According to FINRA records in 2013 Giallourakis was named in a FINRA arbitration (#13-1526) by a customer ...
Austin, Texas Rex Securities Law is investigating VSR Financial Services broker Mikiel R. Featherston of The Featherston Group in connection with the sale of various direct investments including real estate securities and limited partnership interests. According to FINRA records in 2013 Featherston was named in a FINRA arbitration (#13-2256) by a customer alleging unsuitabl ...
Richardson, Texas Rex Securities Law is investigating former VSR Financial Services broker Charles E. Chapman in connection with the sale of various direct investments including real estate securitie, equipment leasing investments, promissory notes and limited partnership interests. According to FINRA records in 2014 Chapman was named three customer disputes involving direc ...
The Woodlands, Texas Rex Securities Law is investigating VSR Financial Services broker Charles Geraci in connection with the sale of various direct investments including real estate securities, equipment leasing investments, promissory notes and limited partnership interests. According to FINRA records in 2014 Geraci has been named in 5 customer complaints.
Bedford, Texas Rex Securities Law is investigating VSR Financial Services broker Timothy C. Hobbs of the Crest Retirement Planning in connection with the sale of various direct investments including real estate securitie, equipment leasing investments, promissory notes and limited partnership interests.
Homeless Whistleblower Gets $140,000! February 6, 2016 by Brian Mahany Anyone Can Be A Whistleblower And Receive An Award – ANYONE! Just Ask Matthew Hay-Chapman We have long said that whistleblowers are the new American heroes. Most of the folks we encounter are hard working women and men who grow tired of seeing fraud, greed and corruption in their work place.