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Barbara Lucille Desiderio (Desiderio) was barred from the financial industry for failing to cooperate with a regulatory investigation. The underlying basis of the investigation concerned allegations she participated in a scheme to defraud customers in order to generate commissions and markups through churning of customer accounts.
Theft, Robbery, Larceny, and Burglary: Words for the Same Thing? Posted by Matthew Sharp under Criminal Law, Theft October 7, 2015 Explaining Theft, Robbery, Larceny and Burglary in Texas Theft, robbery, larceny and burglary are some fairly common criminal offenses that are relatively well-known.
From the Desk of Jim Eccleston at Eccleston Law LLC: Financial advisors may find themselves to be the subject of a FINRA investigation conducted pursuant to FINRA Rule 8210. Brokers absolutely should retain competent securities counsel to help them. Let’s examine Rule 8210, and its companion rule related to non-compliance, FINRA Rule 9552. 8210.
Can Your Chapter 13 Payment Change? Posted on Oct 07, 2015 By Joshua Lawhorn October 7, 2015 by Joshua Lawhorn In a Chapter 13 personal reorganization, you have an ongoing plan payment which usually is made whenever you receive a paycheck. This payment is determined by a number of factors, the primary one being your disposable income.
“Factor Presence,” which is the standard first proposed by the Multistate Tax Commission in 2002 for determining nexus for business activity taxes, means that a company has nexus in a state if its sales in the state exceed a specified threshold, or if the company maintains payroll or property in the state above specified amounts.
California’s New “Right to Die” Signed Into Law As a business and intellectual property lawyer, it may seem strange to see me post about California’s new “right to die” law. However, like many lawyers and scholars, it’s an area that has always interested me, and one I’ve been published on in the past. (Click here for my comparison of U.S.
Hedge Fund Disaster Facilitated by Misleading Back-Test Posted on Tuesday, October 6, 2015 at 1:36 PM From the Desk of Jim Eccleston at Eccleston Law LLC: According to the New York Times, a Connecticut based hedge fund, Spruce Alpha LP Fund, misrepresented its performance to investors and has lost 48% of its value during the month of August 2015.
Most personal injury cases will never require litigation or ripen to the point of being resolved through a courtroom trial. More often than not, cases end through settlement. However, sometimes trial is necessary. What happens at trial in a personal injury case? The typical personal injury trial is structured around proving through a preponderance of the evidence that the defen ...
Am I Eligible for Innocent Spouse Relief? Posted on Oct 06, 2015 By Kathryn Davis October 6, 2015 by Kathryn Davis Many married couples file their federal income taxes jointly. When they file jointly, both spouses are jointly and individually liable for any taxes due on the joint return even if they later divorce.
In a late-breaking development, the Pennsylvania Commonwealth Court has severely limited the use of Impairment Rating Evaluations by insurance companies. This ruling may affect ongoing Workers’ Compensation claims, as well as those that have been affected in past years. Workers’ Compensation insurance companies have, since 1996, have the ability to subject an injured worker ...
We often hear unsafe drivers being described as ‘reckless,’ but what exactly is reckless driving, and is it illegal? Under Illinois law (625 ILCS 5/11-503), a person commits reckless driving under the following circumstances: Driving a vehicle in a way that demonstrates willful or wanton disregard for other people’s safety or property Knowingly driving a vehicle on a grade or incline, such.
The Financial Industry Regulatory Authority (FINRA) recently announced Lincoln Financial Advisors Corporation (“Lincoln Financial”) settled allegations it failed to adequately supervise its employees’ solicitation and sale of a hedge fund (offered as a sub-account to a private placement variable annuity (“PPVA”)).
Louisiana Art and Folk Festival Filed under: Personal Injury Source: http://chamberofcommercecaldwellparish.com/6201.html Historic downtown Columbia hosts the 60th Annual Louisiana Art and Folk Festival Want to Go? Saturday October 10 : 9 a.m.-4 p.m. Downtown Columbia The 60th Louisiana Art and Folk Festival will be held October ...
In recognition of Mental Health Awareness Week, the focus this month on “What They Didn’t Teach You in Law School” is on representing a client with diminished mental capacity. According to the leading mental health organization in the country, 1 in 5 adults in the United States suffer from some form of mental health condition or disorder.
Louis Karl Kittlaus—False, Exaggerated, Unwarranted, and Misleading Statements September 8, 2015 Louis Karl Kittlaus Allegedly made False, Exaggerated, Unwarranted and Misleading Statements in a Communication He Distributed to the Public Louis Karl Kittlaus, registered with FINRA member firm Wall Street Strategies, Inc.
WSSI, Garry Savage– False, Exaggerated, Unwarranted, and Misleading Statements September 7, 2015 Wall Street Strategies, Inc. (WSSI), through Garry Savage, the Firm’s President and CEO, Allegedly Made False, Exaggerated, Unwarranted and Misleading Statements in a Communication He Distributed to the Public WSSI, through Garry Savage, the Firm’s President, Chief Executive Off ...
Wade Lawrence— Misappropriation of Client Funds September 7, 2015 Wade Lawrence Allegedly Misappropriated Client Funds, Collecting More than $2 Million from Would-be Investors Wade Lawrence allegedly misappropriated client funds, and collected more than $2 million from would-be investors, according to FINRA Documents currently under review by attorneys Joe Peiffer and Alan Rosca.
William B. Fretz, Jr. and John “Jack” P. Freeman—Investment Fraud September 6, 2015 William B. Fretz, Jr. and John “Jack” P. Freeman Allegedly Ran a Million Dollar Investment Scheme, Defrauding Friends and Family in a Private Equity Fund William B. Fretz, Jr. and John “Jack” P. Freeman allegedly ran a million dollar investment scheme which defrauded friends and family in a ...