Items discussed in this newsletter:
- FUTURES 101
- THE OSCAR FOR CHUTZPAH GOES TO….
- CHAPTER 517 EXEMPT TRANSACTIONS
- FINRA ACTION DISMISSED BY NY COURT OF APPEALS
- WORLDCOM ARBITRATION AWARD REMANDED TO ARBITRATORS
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Securities Law Update – August 2007
Items discussed in this newsletter:
On April 5, 2007, an Omaha NASD arbitration panel issued an award in favor of an investor alleging claims involving concentrated positions in Level 3 Communications and WorldCom.
On April 25, 2007, Judge F.A. Gossett issued an interesting opinion in Credit Suisse Securities LLC vs. Hilliard, et al., 2007 U.S. Dist. LEXIS 30597 (D. Neb. 2007).
On April 5, 2007, an Omaha, Nebraska NASD arbitration panel issued its first arbitration award in favor of an investor alleging claims involving concentrated positions in Level 3 Communications and WorldCom.