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Registered Rep.
March 17, 2011
Diana Britton |
Securities America Faces Settlement Hearing Friday; Legal Liabilities Up in the Air Securities America will face a federal court judge to decide whether the independent broker/dealer gets preliminary approval for a $21 million settlement agreement related to private placements sold by the company.   |
Registered Rep.
March 21, 2011
Diana Britton |
Judge Shoots Down Securities America Settlement; Arbitrations Move Forward Securities America's request to bundle several arbitration claims and class action lawsuits into one $21 million settlement agreement related to allegedly fraudulent private placements sold by the company was denied. |
Registered Rep.
March 28, 2011
Diana Britton |
Securities America Nears Resolution With Plaintiffs Securities America has made "substantial progress" in its mediation with plaintiffs' attorneys involved in class action suits against the independent broker/dealer. |
Registered Rep.
April 28, 2011
Diana Britton |
Securities America Likely To Sell At Discount Ameriprise needs to find a buyer for Securities America in a hurry. Many advisors, including large producers, are likely to leave the firm, especially between now and the time a buyer emerges, sources told Registered Rep. |
Registered Rep.
March 25, 2011
Diana Britton |
Securities America Negotiates With Plaintiffs; Saga Continues Securities America met with plaintiff's attorneys to negotiate a resolution to investor claims against the company related to its sale of allegedly fraudulent private placements. |
Financial Planning
July 1, 2011
Donna Mitchell |
Hot Topics FINRA steps in... $80 million settlement of two class-action suits by Securities America... Whistleblower payday... |
Registered Rep.
April 25, 2011
Diana Britton |
Ameriprise to Shed Securities America Amid Pending Settlement The company plans to sell its independent broker/dealer unit Securities America, while the firm is still in the process of finalizing a settlement with investors claiming SAI sold allegedly fraudulent private placement. |
Registered Rep.
July 28, 2011
Diana Britton |
Ameriprise: Rep Productivity at New High; Securities America Sale in `Near Future' Advisor productivity reached a new high for Ameriprise Financial. |
Registered Rep.
April 26, 2011
Diana Britton |
Ameriprise Profits Rise on Record Advisor Productivity The firm reported its best quarterly advisor productivity ever at $95,000, up 23 percent from 2010. |
Information Today
September 24, 2009 |
Google Book Search Settlement Hearing to Be Postponed On Sept. 22, the parties involved in the Google Book Search settlement have asked the federal court to postpone the scheduled Oct. 7 hearing to give them time to work with the U.S. Department of Justice so that the parties can amend the Settlement Agreement. |
Registered Rep.
August 17, 2011 |
Ladenburg Thalmann to Buy Securities America Ladenburg Thalmann Financial Services Inc. has agreed to buy Securities America Financial Corp., the troubled independent broker/dealer, from Ameriprise Financial Inc. for at least $150 million in cash. |
Registered Rep.
March 15, 2012
Diana Britton |
Ladenburg Thalmann Revenue Doubles Thanks to SAI acquisition, But Profits Are Slim The spike was primarily due to the company's acquisition of Securities America, adding $57.1 million to Ladenburg's 2011 revenue. Net income for the quarter was $6.4 million, compared to a net loss of $1.1 million for the fourth quarter 2010. |
Registered Rep.
August 12, 2011
Diana Britton |
$420 Million Team Leaves Securities America for LPL, As Do Others Some advisors have jumped ship from independent broker/dealer Securities America for LPL Financial following news that parent Ameriprise Financial would sell SAI. |
Registered Rep.
November 7, 2011
Diana Britton |
Ladenburg Thalmann's Acquisition of Securities America a Done Deal Ladenburg Thalmann has closed the deal to acquire independent broker/dealer Securities America from Ameriprise Financial. |
InternetNews
September 25, 2009 |
Judge's Order Keeps Google Books in Limbo New York judge postpones fairness hearing for controversial settlement agreement in response to DoJ objections. |
Registered Rep.
September 13, 2007
Halah Touryalai |
Overtime Finally Pays Off Smith Barney brokers may be the first to cash in on overtime lawsuits that have been all the rage over the last two years. |
Registered Rep.
January 1, 2007
Halah Touryalai |
Spitzer Defends UBS Brokers--No, Seriously Eliot Spitzer announced in mid-December that he thinks the $89 million overtime settlement that UBS agreed to in February 2006 is unfairly distributed, and he's asking a Northern California District Court to reject the proposed settlement amount. |
InternetNews
July 30, 2004
Susan Kuchinskas |
PayPal Payout Pending If you opened a PayPal account between October 1999 and January 2004, you may be entitled to a payment from a class action settlement. |
InternetNews
June 15, 2004
Susan Kuchinskas |
PayPal to Pay Up on Class Action Suit The person-to-person payment enabler will pay up for alleged mess-ups. |
Information Today
October 10, 2005
Carole Ebbinghouse |
We've Not Seen the Last of The Copyright Class Action So far, none of the organizations involved in The Copyright Class Action and In Re Literary Works in Electronic Databases Copyright Litigation or the copyright class action Web site have a press release or any mention of the final approval of the settlement by the court on Sept. 30. |
InternetNews
June 3, 2005
Tim Gray |
Apple Settles iPod Battery Claim Apple has agreed to settle a class-action lawsuit over the rechargeable battery in its popular iPod. |
InternetNews
May 12, 2006
Nicholas Carlson |
Google Sued Over Click Fraud, Again Lead plaintiff Joseph Kinney and other Internet advertisers had their lawyers sue to block the $90 million settlement Google reached in a click fraud case in March. |
Investment Advisor
September 2009
Thomas D. Giachetti |
Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration. |
Registered Rep.
August 1, 2005
Bill Singer |
The High Price of Foot Dragging Contesting arbitrations is often a smart move -- especially for financial reps who believe they were unjustly accused or that the settlement demanded by the customer is excessive. |
On Wall Street
October 1, 2012
Lorie Konish |
Settlement May Not End Merrill Lynch's Deferred Compensation Woes Exemptions and the chance to opt out have lawyers predicting the $40 million proposed deferred compensation plan settlement will not cease litigation against Merrill Lynch. |
InternetNews
February 5, 2010 |
DoJ Still Wary About Google Book Settlement Federal attorneys say amended settlement still doesn't address fundamental antitrust and copyright concerns. |
Registered Rep.
July 15, 2010
Kristen French |
Goldman Sachs Agrees To Record $550 Million Abacus Settlement The settlement, which must still be approved by the court, represents the first case brought by the S.E.C.'s new structured and new products unit. |
InternetNews
December 10, 2009 |
Microsoft Nears DoJ OK to Collect Protocol Fees The software colossus's required documentation is said to be "substantially complete," paving the way for it to again charge companies for access. |
PC World
August 5, 2002
Joris Evers |
Microsoft Set to Act on Antitrust Settlement Software giant will carry out part of the proposed deal with the DOJ, even though judge has yet to approve it. |
InternetNews
October 18, 2007
Stuart J. Johnston |
States Seek Extension of Microsoft Antitrust Oversight Oversight of Microsoft's antitrust settlement is about to end, but not if "the California Group" has anything to say about it. |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
Information Today
November 23, 2009
Barbara Quint |
Here We Go Again! The Revised Google Book Settlement Last week, when Google and its someday-soon ex-litigants filed a revised settlement agreement with the court, the media coverage proved equally feverish. |
InternetNews
September 8, 2009 |
EU Officials Offer Tepid Praise for Google Books Commissioners call for reform of European copyright laws so that projects like Google's Book Search could be implemented swiftly and fairly. |
InternetNews
June 30, 2004
Roy Mark |
Microsoft Prevails in Antitrust Appeal The U.S. Court of Appeals denies Massachusetts' challenge to the Department of Justice's landmark antitrust settlement with Microsoft. |
BusinessWeek
August 16, 2004
Emily Thornton |
The Brokers Strike Back Wall Street to investors: Beware of suing your brokers -- they might just sue you back. |
Information Today
April 4, 2005
Barbara Quint |
Post-Tasini Class Action Case Settling for Up to $18 Million The finding by the Supreme Court established that publishers and the information industry had to get approval from authors to electronically publish reports. The amount to be paid to writers under the settlement plan depends on a number of factors. |
InternetNews
September 11, 2007
Stuart J. Johnston |
States Request Microsoft Oversight Extension At a hearing Tuesday regarding the pending expiration of much of Microsoft's antitrust settlement, a group of states requested continued oversight of the software giant. |
InternetNews
November 16, 2009 |
Google Books Still Faces Criticism After Revision Google submitted to a federal court a revised version of a controversial settlement agreement with two author and publisher groups that would make millions of out-of-print books available online. Opponents of the deal argue that the changes are more cosmetic than substantive. |
Investment Advisor
April 2009
James J. Green |
B/D Briefing: Calm Before the Storm? A new report found that the average securities class action settlement was halved in 2008, but the authors of Securities Class Action Settlements: 2008 Review and Analysis, caution that the reported decrease doesn't constitute a trend. |
Information Today
October 11, 2012
George H. Pike |
Google's Settlement With Publishers Does Not Resolve All Library Project Issues After more than 7 years of litigation, Google and The Association of American Publishers reached a settlement over Google's ongoing Library Project to scan books from public and academic libraries and make the content available over Google. |
Registered Rep.
October 27, 2011
Diana Britton |
Ameriprise Profits, FA Productivity Down Amid Solid Recruiting Quarter Ameriprise Financial has been steadily improving the productivity of its advisors since the firm set its sights on this goal over a year ago - until now. |
InternetNews
December 23, 2009
Kenneth Corbin |
Comcast Will Pay to End P2P Suit But the issue only touches the larger debate surrounding network neutrality. |
The Motley Fool
June 30, 2011
Ilan Moscovitz |
What's Behind Bank of America's Big Settlement Some putback questions may be put to rest. |
Registered Rep.
December 22, 2006
Halah Touryalai |
Spitzer Wants More Settlement Dollars for New York UBS Reps New York Attorney General and Governor-elect Eliot Spitzer is asking a Northern California court to disapprove the settlement terms of an overtime suit against UBS. |
Investment Advisor
May 1, 2011
Janet Levaux |
Securities America Denies Charges of Departing Reps Anonymous sources insist advisors are leaving or planning to leave the firm |
InternetNews
May 3, 2006
Michael Hickins |
Microsoft Closes Out Calif. Lawsuits Microsoft has closed another antitrust case to stem from the U.S. government's antitrust case against it over monopoly abuse. |
InternetNews
September 10, 2009 |
Lawmakers Probe Google Book Search Google's controversial digital book project saw another wave of public scrutiny this morning, this time in the form of a House Judiciary Committee hearing on the competitive implications of its landmark settlement with authors and publishers. |
Registered Rep.
August 7, 2008
John Churchill |
Citi Settles With SEC and Cuomo Over ARS Failure The firm has agreed to buy back auction rate securities sold to institutional and retail investors nationwide who've been stuck with the illiquid investment vehicles since February 12, 2008. |
PC World
November 1, 2002
Garretson & Ferranti |
Antitrust Decision: A Long Time in the Making Relive some of the key moments in the long battle between Microsoft and the Department of Justice. |
PC Magazine
August 27, 2003
Alexandra Robbins |
Ordered to Pay Up Had Robin Hood's booty of choice been copies of Microsoft Office, he might have been involved in the largest recovery ever achieved under California's antitrust laws -- one that partially benefits lower-income students. |
