In the Matter of the Arbitration Between: Walter A. Moede, Jr., Claimant v. Web Street Securities, Inc., Johnny Fiscus, and Edward McCarthy, Respondents
This document outlines key concepts and terms related to insurance. It defines risk management and explains the purpose of insurance is to transfer risk from the insured to the insurer. The main parties to an insurance contract are the insurer, who accepts the risk of loss in exchange for a premium, the insured, who is protected by the policy, and the policy itself, which is the contract. There are several types of insurance discussed, including life, property, health, automobile, and others. The document provides details on concepts like insurable interest, deductibles, and coinsurance. It also explains various types of policies and coverages in more depth.
O documento discute como a geração exponencial de dados e as mudanças nas necessidades humanas estão transformando a relação das pessoas com o mundo. 90% dos dados existentes foram gerados nos últimos 2 anos e áreas como família, comunicação, educação e saúde estão sendo impactadas.
#LaPosteStarWars
Livraison spéciale à BORDEAUX : des colis STAR WARS™ livrés par La Poste
Les 23 et 24 novembre 2015, La Poste organise une opération spéciale et inédite à Bordeaux à l’occasion de la sortie du film Star Wars : le réveil de la Force, au cinéma le 16 décembre.
Las Normas APA son un conjunto de estándares que ayudan a codificar componentes de la escritura científica para facilitar la comprensión, enfocándose en elementos como formato, puntuación, citación de referencias. Sirven para que la publicación sea comprensible a nivel internacional siguiendo uno de los estándares más aceptados, expresando ideas con precisión y sin distracciones.
Test-Driven Development (TDD) is a software development process that relies on writing automated tests before developing code to pass those tests ("red-green-refactor"). TDD promotes writing isolated, repeatable unit tests and decoupling code from external dependencies through techniques like dependency injection and mocking. While TDD has benefits like ensuring quality and preventing regressions, it has also received criticism for potentially leading to over-testing and an over-reliance on mocking. The presentation concludes with an open discussion of experiences and opinions on TDD.
El documento proporciona información sobre ácidos y bases. Explica que los ácidos tienen sabor agrio y reaccionan con metales desprendiendo hidrógeno, mientras que las bases tienen sabor amargo y propiedades similares al jabón. También describe la teoría de Arrhenius, la cual define a los ácidos como sustancias que incrementan la concentración de iones hidrógeno en solución acuosa, y a las bases como sustancias que incrementan la concentración de iones hidróxido. Además, explica
El documento describe el turismo rural en Cuetzalan, Puebla. Se define el turismo rural y se proporcionan antecedentes históricos de Cuetzalan. Luego, se discuten las mejores áreas para practicar el turismo rural en Cuetzalan, las actividades más populares entre los turistas como grutas y cascadas, y las ventajas de visitar este pueblo mágico rico en cultura.
This document outlines key concepts and terms related to insurance. It defines risk management and explains the purpose of insurance is to transfer risk from the insured to the insurer. The main parties to an insurance contract are the insurer, who accepts the risk of loss in exchange for a premium, the insured, who is protected by the policy, and the policy itself, which is the contract. There are several types of insurance discussed, including life, property, health, automobile, and others. The document provides details on concepts like insurable interest, deductibles, and coinsurance. It also explains various types of policies and coverages in more depth.
O documento discute como a geração exponencial de dados e as mudanças nas necessidades humanas estão transformando a relação das pessoas com o mundo. 90% dos dados existentes foram gerados nos últimos 2 anos e áreas como família, comunicação, educação e saúde estão sendo impactadas.
#LaPosteStarWars
Livraison spéciale à BORDEAUX : des colis STAR WARS™ livrés par La Poste
Les 23 et 24 novembre 2015, La Poste organise une opération spéciale et inédite à Bordeaux à l’occasion de la sortie du film Star Wars : le réveil de la Force, au cinéma le 16 décembre.
Las Normas APA son un conjunto de estándares que ayudan a codificar componentes de la escritura científica para facilitar la comprensión, enfocándose en elementos como formato, puntuación, citación de referencias. Sirven para que la publicación sea comprensible a nivel internacional siguiendo uno de los estándares más aceptados, expresando ideas con precisión y sin distracciones.
Test-Driven Development (TDD) is a software development process that relies on writing automated tests before developing code to pass those tests ("red-green-refactor"). TDD promotes writing isolated, repeatable unit tests and decoupling code from external dependencies through techniques like dependency injection and mocking. While TDD has benefits like ensuring quality and preventing regressions, it has also received criticism for potentially leading to over-testing and an over-reliance on mocking. The presentation concludes with an open discussion of experiences and opinions on TDD.
El documento proporciona información sobre ácidos y bases. Explica que los ácidos tienen sabor agrio y reaccionan con metales desprendiendo hidrógeno, mientras que las bases tienen sabor amargo y propiedades similares al jabón. También describe la teoría de Arrhenius, la cual define a los ácidos como sustancias que incrementan la concentración de iones hidrógeno en solución acuosa, y a las bases como sustancias que incrementan la concentración de iones hidróxido. Además, explica
El documento describe el turismo rural en Cuetzalan, Puebla. Se define el turismo rural y se proporcionan antecedentes históricos de Cuetzalan. Luego, se discuten las mejores áreas para practicar el turismo rural en Cuetzalan, las actividades más populares entre los turistas como grutas y cascadas, y las ventajas de visitar este pueblo mágico rico en cultura.
This document contains personal and professional information about Mohamed Ibrahim Mohamed El Sayed Hammam. It includes his contact information, objective of seeking leadership roles in security, education history including a diploma from the armed forces and bachelor's degree from Cairo University, extensive work experience in security management roles at hotels and resorts in Egypt, training and courses completed, languages spoken, computer skills, professional memberships, interests in sports, and references. It also lists certifications and additional information about his abilities to lead in different areas and work outside of Cairo.
Open Source software is gaining momentum. Two facts witness its astonishing diffusion. On one hand, the demand for Open Source solutions is rising very fast; nowadays thousands of individuals and organisations are running Open Source programs on their systems. On the other hand, there are more and more Open Source projects and an ever-increasing number of programmers contribute to them.
This certificate recognizes that Henri Georges MADYBA successfully completed a course on diagnosing the financial health of a business by August 5th, 2014. The course consisted of modules on the balance sheet, income statement, statement of cash flows, and assessing financial performance, with module scores ranging from 60-80%.
Este documento proporciona información sobre el uso y mantenimiento de un horno. En la sección de descripción, describe las partes principales del horno y sus accesorios. En la sección de uso, ofrece consejos sobre el primer uso y advertencias de seguridad relacionadas con las altas temperaturas. La sección de limpieza y mantenimiento incluye instrucciones para limpiar el horno de forma segura.
This resume is for Kimberly G. Sitter, a psychology student seeking a full or part-time position. She has a 3.5 GPA and is enrolled in a 4-year psychology program. She has relevant experience working in the psychology department at Furman University as a teaching assistant and lab assistant. She also has experience tutoring psychology and providing community service tutoring in reading and math.
Unep inquiry presentation november 2015 UNEP_Inquiry
The document summarizes key points from a UNEP report on aligning the global financial system with sustainable development. It notes that $16 trillion is needed annually for sustainable investments but only $5-7 trillion is available. Central bankers and financial leaders discussed this issue and the need for "green finance" to not be a niche issue. The report found over 100 measures globally to better align finance with sustainability and categorized them into enhancing markets, harnessing public funds, directing finance through policy, transforming culture and upgrading governance. It calls for national sustainable finance plans and international cooperation on areas like green bonds and climate risk management.
The document provides information about the Third Week of Lent in the Maronite Catholic Church, including:
1) It discusses the story of the healing of the hemorrhaging woman, noting how she took action to seek out Jesus rather than waiting passively.
2) It highlights the evening and morning prayers for the day and the readings from Scripture.
3) It includes tips for understanding the significance of the Mass in the Maronite tradition and incorporating Maronite spirituality into daily life.
Claimant alleged as follows: Negligence; breach of fiduciary duty, unsuitable investments, and consumer fraud. Claimant's causes of action are in connection with technology related common stock.
EKEJIJA- NVC FUND-SEC SETTLEMENT SOLUTION
CASE: 2:20-cv-08985-ODW-DFM
Case No.: 2:20-cv-08985-FWS-DFM
Dear John F. Libby,
As requested by Judge Fred W. Slaughter, the undersigned, frank-ojogwa: Ekejija, comes now to submit in good faith for your favorable consideration a graceful workable solution to settle and resolve the above-referenced egregious case (the “Case”), according to the requirement of Rule 1 of the Federal Rules of Civil Procedure (“FRCP”), that “all civil actions and proceedings in the United States district courts … be construed, administered, and employed by the court and the parties to secure the just, speedy, and inexpensive determination of every action and proceeding.”
The purpose of my proposal is to achieve the complete, final, fair, and equitable resolution of all of the financial, civil rights, and reputational damages and other civil claims I am holding against the U.S. Securities and Exchange Commission, an agency of the federal government (the “SEC”), arising out of and suffered in connection with the extreme quantifiable and unquantifiable economic and wrongs, injuries, damages, defamations, prejudices, and injustices done to our companies and me, by the SEC’s egregious, willful, wrongful, meritless, reckless, abusive, and vindictive crusade, undertaken under color of law and constitutes a gross breach of fidelity, over the past 11 years. That the SEC persisted in misusing and abusing its government authority, compounding these many wrongs long after it knew or should have known that its allegations were meritless, and the resulting compounding of its wrongful behavior, and that such conduct exposed the SEC and the federal government to ridicules, substantial financial and other liability, makes the situation even more outrageous.
Notwithstanding the foregoing, I am willing to settle and resolve this matter upon the terms and conditions summarized below. You will see that my proposal satisfies each of the requirements of FRCP Rule 1. Indeed, I am proposing to achieve the intended result by underwriting the financial elements of my claims out of our assets and at no cost to the government. Moreover, the structure and mechanisms of this proposal are eminently fair and reasonable by design and within your authority as a federal judge to implement.
Claimants asserted the following causes of action: breach of contract; negligence; and failure to transfer. The causes of action related to Claimants' investments in infinera Corp. ("INFN") [*3] through limited liability companies ("LLCs") organized by AEI that, in turn invested in INFN.
Block and Landsman Award - Kappel, breach of contractblocklandsman
The panel denied all claims by Advanced Equities, Inc. against Denise Kappel and awarded Kappel $260,328 in compensatory damages, $200,000 in compensatory and punitive damages under Title VII, and $80,000 in attorney's fees. The panel assessed Advanced Equities $27,040 in total fees, with a balance due of $19,825. Kappel was due a $775 refund.
Doc1031 pay day for lynn tillotson pinker & cox $189,945.99malp2009
This document is a fourth application filed by Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeking approval of attorney's fees and reimbursement of expenses from the bankruptcy estate of FirstPlus Financial Group, Inc. LTPC requests approval of $183,333.33 in attorney's fees based on its one-third contingency fee from a $550,000 settlement with Buckno Lisicky & Company, P.C. and Anthony Buczek. LTPC also requests $6,542.66 in expense reimbursements. In total, LTPC requests approval of $189,875.99 for fees and expenses incurred from May 2014 to May 2015.
The judge dismissed the appellants' application to set aside a default judgment entered against them for failing to file their defence on time. The judge found that the appellants did not provide a good explanation for the delay as required. The appellants appealed, arguing that: (1) the judge applied the wrong legal test in assessing the reasons for delay; (2) the evidence disclosed a good reason for the delay; and (3) the judge failed to properly consider their extension of time application. The Court of Appeal dismissed the appeal, finding that the judge applied the correct legal test and his decision was unimpeachable.
This document summarizes a court ruling on a motion to dismiss claims against three investors in Veoh Networks Inc. for secondary copyright infringement. The court held that while the complaint alleged the investors obtained control of Veoh through board seats and financing, it did not sufficiently plead that the investors were significantly involved in Veoh's alleged infringing activities to state valid claims of contributory copyright infringement against the investors. As a result, the court granted the investors' motion to dismiss the secondary liability claims against them.
The debtor, Cordillera Golf Club, LLC, filed an application seeking approval to retain the law firm of Young Conaway Stargatt & Taylor, LLP ("Young Conaway") as its Delaware bankruptcy counsel. Young Conaway has extensive experience in bankruptcy matters and represented the debtor pre-petition. The application discloses Young Conaway's hourly rates, retention agreement with the debtor, and that the firm does not hold any interest adverse to the debtor or the bankruptcy estate. The debtor believes that retaining Young Conaway as Delaware bankruptcy counsel is in the best interests of the estate. A hearing on the application will be held on July 27, 2012.
This document contains personal and professional information about Mohamed Ibrahim Mohamed El Sayed Hammam. It includes his contact information, objective of seeking leadership roles in security, education history including a diploma from the armed forces and bachelor's degree from Cairo University, extensive work experience in security management roles at hotels and resorts in Egypt, training and courses completed, languages spoken, computer skills, professional memberships, interests in sports, and references. It also lists certifications and additional information about his abilities to lead in different areas and work outside of Cairo.
Open Source software is gaining momentum. Two facts witness its astonishing diffusion. On one hand, the demand for Open Source solutions is rising very fast; nowadays thousands of individuals and organisations are running Open Source programs on their systems. On the other hand, there are more and more Open Source projects and an ever-increasing number of programmers contribute to them.
This certificate recognizes that Henri Georges MADYBA successfully completed a course on diagnosing the financial health of a business by August 5th, 2014. The course consisted of modules on the balance sheet, income statement, statement of cash flows, and assessing financial performance, with module scores ranging from 60-80%.
Este documento proporciona información sobre el uso y mantenimiento de un horno. En la sección de descripción, describe las partes principales del horno y sus accesorios. En la sección de uso, ofrece consejos sobre el primer uso y advertencias de seguridad relacionadas con las altas temperaturas. La sección de limpieza y mantenimiento incluye instrucciones para limpiar el horno de forma segura.
This resume is for Kimberly G. Sitter, a psychology student seeking a full or part-time position. She has a 3.5 GPA and is enrolled in a 4-year psychology program. She has relevant experience working in the psychology department at Furman University as a teaching assistant and lab assistant. She also has experience tutoring psychology and providing community service tutoring in reading and math.
Unep inquiry presentation november 2015 UNEP_Inquiry
The document summarizes key points from a UNEP report on aligning the global financial system with sustainable development. It notes that $16 trillion is needed annually for sustainable investments but only $5-7 trillion is available. Central bankers and financial leaders discussed this issue and the need for "green finance" to not be a niche issue. The report found over 100 measures globally to better align finance with sustainability and categorized them into enhancing markets, harnessing public funds, directing finance through policy, transforming culture and upgrading governance. It calls for national sustainable finance plans and international cooperation on areas like green bonds and climate risk management.
The document provides information about the Third Week of Lent in the Maronite Catholic Church, including:
1) It discusses the story of the healing of the hemorrhaging woman, noting how she took action to seek out Jesus rather than waiting passively.
2) It highlights the evening and morning prayers for the day and the readings from Scripture.
3) It includes tips for understanding the significance of the Mass in the Maronite tradition and incorporating Maronite spirituality into daily life.
Claimant alleged as follows: Negligence; breach of fiduciary duty, unsuitable investments, and consumer fraud. Claimant's causes of action are in connection with technology related common stock.
EKEJIJA- NVC FUND-SEC SETTLEMENT SOLUTION
CASE: 2:20-cv-08985-ODW-DFM
Case No.: 2:20-cv-08985-FWS-DFM
Dear John F. Libby,
As requested by Judge Fred W. Slaughter, the undersigned, frank-ojogwa: Ekejija, comes now to submit in good faith for your favorable consideration a graceful workable solution to settle and resolve the above-referenced egregious case (the “Case”), according to the requirement of Rule 1 of the Federal Rules of Civil Procedure (“FRCP”), that “all civil actions and proceedings in the United States district courts … be construed, administered, and employed by the court and the parties to secure the just, speedy, and inexpensive determination of every action and proceeding.”
The purpose of my proposal is to achieve the complete, final, fair, and equitable resolution of all of the financial, civil rights, and reputational damages and other civil claims I am holding against the U.S. Securities and Exchange Commission, an agency of the federal government (the “SEC”), arising out of and suffered in connection with the extreme quantifiable and unquantifiable economic and wrongs, injuries, damages, defamations, prejudices, and injustices done to our companies and me, by the SEC’s egregious, willful, wrongful, meritless, reckless, abusive, and vindictive crusade, undertaken under color of law and constitutes a gross breach of fidelity, over the past 11 years. That the SEC persisted in misusing and abusing its government authority, compounding these many wrongs long after it knew or should have known that its allegations were meritless, and the resulting compounding of its wrongful behavior, and that such conduct exposed the SEC and the federal government to ridicules, substantial financial and other liability, makes the situation even more outrageous.
Notwithstanding the foregoing, I am willing to settle and resolve this matter upon the terms and conditions summarized below. You will see that my proposal satisfies each of the requirements of FRCP Rule 1. Indeed, I am proposing to achieve the intended result by underwriting the financial elements of my claims out of our assets and at no cost to the government. Moreover, the structure and mechanisms of this proposal are eminently fair and reasonable by design and within your authority as a federal judge to implement.
Claimants asserted the following causes of action: breach of contract; negligence; and failure to transfer. The causes of action related to Claimants' investments in infinera Corp. ("INFN") [*3] through limited liability companies ("LLCs") organized by AEI that, in turn invested in INFN.
Block and Landsman Award - Kappel, breach of contractblocklandsman
The panel denied all claims by Advanced Equities, Inc. against Denise Kappel and awarded Kappel $260,328 in compensatory damages, $200,000 in compensatory and punitive damages under Title VII, and $80,000 in attorney's fees. The panel assessed Advanced Equities $27,040 in total fees, with a balance due of $19,825. Kappel was due a $775 refund.
Doc1031 pay day for lynn tillotson pinker & cox $189,945.99malp2009
This document is a fourth application filed by Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeking approval of attorney's fees and reimbursement of expenses from the bankruptcy estate of FirstPlus Financial Group, Inc. LTPC requests approval of $183,333.33 in attorney's fees based on its one-third contingency fee from a $550,000 settlement with Buckno Lisicky & Company, P.C. and Anthony Buczek. LTPC also requests $6,542.66 in expense reimbursements. In total, LTPC requests approval of $189,875.99 for fees and expenses incurred from May 2014 to May 2015.
The judge dismissed the appellants' application to set aside a default judgment entered against them for failing to file their defence on time. The judge found that the appellants did not provide a good explanation for the delay as required. The appellants appealed, arguing that: (1) the judge applied the wrong legal test in assessing the reasons for delay; (2) the evidence disclosed a good reason for the delay; and (3) the judge failed to properly consider their extension of time application. The Court of Appeal dismissed the appeal, finding that the judge applied the correct legal test and his decision was unimpeachable.
This document summarizes a court ruling on a motion to dismiss claims against three investors in Veoh Networks Inc. for secondary copyright infringement. The court held that while the complaint alleged the investors obtained control of Veoh through board seats and financing, it did not sufficiently plead that the investors were significantly involved in Veoh's alleged infringing activities to state valid claims of contributory copyright infringement against the investors. As a result, the court granted the investors' motion to dismiss the secondary liability claims against them.
The debtor, Cordillera Golf Club, LLC, filed an application seeking approval to retain the law firm of Young Conaway Stargatt & Taylor, LLP ("Young Conaway") as its Delaware bankruptcy counsel. Young Conaway has extensive experience in bankruptcy matters and represented the debtor pre-petition. The application discloses Young Conaway's hourly rates, retention agreement with the debtor, and that the firm does not hold any interest adverse to the debtor or the bankruptcy estate. The debtor believes that retaining Young Conaway as Delaware bankruptcy counsel is in the best interests of the estate. A hearing on the application will be held on July 27, 2012.
This document provides a summary of recent developments in personal injury law from November 2015. It discusses cases related to causation of loss, withdrawal of admission, compensation for accidents abroad, clinical negligence, and costs protections. Specifically, it discusses an overturned decision related to determining additional needs caused by negligence for a claimant with pre-existing conditions. It also discusses cases related to withdrawing admissions of liability, applying foreign law for compensation for accidents abroad, assessing evidence in clinical negligence cases, and applying costs protections for claimants who change solicitors.
Mortgage actions made up a significant proportion of the Supreme Court of Western Australia's civil caseload from 2011 to 2014, ranging from 31% to 44% of total civil lodgments. Unconscionable dealing claims involve assessing whether the borrower suffered from special disadvantages affecting their judgment, if the lender was aware of this, and took advantage. Successful claims may see loans rendered unsecured but still owing. It can help to apply to external dispute resolution bodies like the Financial Ombudsman Service which operate without prejudice and aim for fairness.
The debtor, Cordillera Golf Club, LLC, filed a motion seeking approval of procedures for interim compensation and reimbursement of expenses for professionals retained in the chapter 11 case. The motion requests that professionals be allowed to submit monthly fee applications for payment of 80% of fees and 100% of expenses, with interim fee applications submitted every three months. The procedures are consistent with those approved in other large chapter 11 cases and will help streamline the professional compensation process.
The debtor, Cordillera Golf Club, LLC, filed a motion seeking approval of procedures for interim compensation and reimbursement of expenses for professionals retained in the chapter 11 case. The motion requests that professionals be allowed to submit monthly fee applications for payment of 80% of fees and 100% of expenses, with interim fee applications submitted every three months. The procedures are intended to streamline the payment process in this large chapter 11 case.
Doc1014 attorney volker going for $1 m in feesmalp2009
Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeks approval of $1,000,000 in attorney fees and $2,958.01 in expenses for a total of $1,002,958.01. The fees represent LTPC's one-third contingency fee from the Trustee's $3,000,000 settlement with Olshan Frome Wolosky LLP f/k/a Olshan Grundman Frome Rozenzweig & Wolosky, LLP and David Adler. LTPC was employed as special litigation counsel and filed an adversary proceeding against Olshan, responding to motions to dismiss and ultimately reaching the settlement. The expenses are for transcripts, legal
Doc1014 attorney volker going for $1 m in feesmalp2009
Lynn Tillotson Pinker & Cox, LLP ("LTPC") seeks approval of $1,000,000 in attorney fees and $2,958.01 in expenses for a total of $1,002,958.01. The fees represent LTPC's one-third contingency fee from the Trustee's $3,000,000 settlement with Olshan Frome Wolosky LLP f/k/a Olshan Grundman Frome Rozenzweig & Wolosky, LLP and David Adler. LTPC was employed as special litigation counsel and filed an adversary proceeding against Olshan, responding to motions to dismiss and ultimately reaching the settlement. The expenses are for transcripts, legal
Settlement Agreement Executed by all parties.pdfjamesmaredmond
This settlement agreement resolves a dispute between the California Attorney General and the Lithuanian Assistance Foundation regarding the Foundation's use of charitable assets. Key points:
1) The Foundation will dissolve and remaining assets will be transferred to the California Community Foundation to benefit Lithuanian orphans, children, and the village of Zelva.
2) The Foundation parties will pay $7.2 million to the Attorney General to reimburse investigation costs and support the new charitable fund.
3) Foundation directors agree not to serve on other charity boards in California and must complete training.
4) The agreement establishes a payment schedule and credits for timely payments to resolve the matter without litigation.
The Dodd-Frank Act aims to overhaul rules governing brokers and their relationship with investors. It authorizes the SEC to impose fiduciary duties on brokers, requiring them to put clients' interests ahead of their own. It also allows the SEC to reform securities arbitration rules to give investors a more level playing field. This is expected to increase protections for investors and hold brokers to higher standards of care. The SEC will likely require brokers to meet the same fiduciary standard as investment advisors. It may also address issues like mandatory arbitration agreements and the inclusion of "industry arbitrators" to make the dispute resolution process fairer for investors.
Landsman article - the effect of laughlin v. evanston hospital 1997.06blocklandsman
An article written by Laurence Landsman for the Loyola Consumer Law Reporter regarding the effect of Laughlin v. Evanston Hospital on Consumer Fraud Act Claims For Nondeceptive Unfair Acts or Practices.
Landsman represents Alex Brown of the Saints - Investment News 2010.10.28 inv...blocklandsman
An NFL player sued his former financial advisers for $3.9 million, alleging they invested his money poorly in illiquid assets like airplane hangars and life insurance products without his knowledge. The player claims he trusted the advisers, who were long-time friends, and they took advantage of that trust for their own enrichment. The advisers deny the allegations and say the player was aware of all investment decisions.
Laurence Landsman interview 2001.02.28 usa today (viaticals)blocklandsman
An elderly couple invested a significant portion of their net worth in a viatical life insurance deal through an agent they trusted. However, their money was turned over to an escrow agent that was later accused of misappropriating millions of dollars from investors. While the agent who sold them the investment lost money as well and felt badly about their situation, over half of the couple's original investment was unable to be accounted for due to the collapse of the companies involved. Viatical investments carry high risks and seniors were warned to thoroughly research companies before investing.
Block and Landsman Award - Neuberger Bermanblocklandsman
The document discusses the benefits of exercise for mental health. Regular physical activity can help reduce anxiety and depression and improve mood and cognitive function. Exercise causes chemical changes in the brain that may help protect against mental illness and improve symptoms.
This newsletter article summarizes two main topics:
1) It discusses a new option for investors to resolve disputes with registered investment advisors (RIAs) through voluntary FINRA arbitration rather than litigation. Arbitration is typically less expensive but provides limited discovery compared to court. Lawyers must consider these factors when deciding the best forum.
2) It provides tips for firms on conducting a compliance project during the typically quieter summer market period. Suggestions include evaluating the firm's compliance program, prioritizing projects that increase efficiencies, and selecting one or two meaningful projects to focus on rather than avoiding all projects.
Block & Landsman: Judgments and settlementsblocklandsman
The document describes several legal judgments and settlements involving investment fraud at various financial firms. They include a $5 million award against Lehman Brothers for principal protected note fraud, a $1.15 million settlement for an adviser who misappropriated an elderly client's funds, and a $700,000 settlement for an adviser who engaged in a pattern of selling unsuitable investments.
Sangyun Lee, 'Why Korea's Merger Control Occasionally Fails: A Public Choice ...Sangyun Lee
Presentation slides for a session held on June 4, 2024, at Kyoto University. This presentation is based on the presenter’s recent paper, coauthored with Hwang Lee, Professor, Korea University, with the same title, published in the Journal of Business Administration & Law, Volume 34, No. 2 (April 2024). The paper, written in Korean, is available at <https://shorturl.at/GCWcI>.
Guide on the use of Artificial Intelligence-based tools by lawyers and law fi...Massimo Talia
This guide aims to provide information on how lawyers will be able to use the opportunities provided by AI tools and how such tools could help the business processes of small firms. Its objective is to provide lawyers with some background to understand what they can and cannot realistically expect from these products. This guide aims to give a reference point for small law practices in the EU
against which they can evaluate those classes of AI applications that are probably the most relevant for them.
Receivership and liquidation Accounts
Being a Paper Presented at Business Recovery and Insolvency Practitioners Association of Nigeria (BRIPAN) on Friday, August 18, 2023.
The Future of Criminal Defense Lawyer in India.pdfveteranlegal
https://veteranlegal.in/defense-lawyer-in-india/ | Criminal defense Lawyer in India has always been a vital aspect of the country's legal system. As defenders of justice, criminal Defense Lawyer play a critical role in ensuring that individuals accused of crimes receive a fair trial and that their constitutional rights are protected. As India evolves socially, economically, and technologically, the role and future of criminal Defense Lawyer are also undergoing significant changes. This comprehensive blog explores the current landscape, challenges, technological advancements, and prospects for criminal Defense Lawyer in India.
Matthew Professional CV experienced Government LiaisonMattGardner52
As an experienced Government Liaison, I have demonstrated expertise in Corporate Governance. My skill set includes senior-level management in Contract Management, Legal Support, and Diplomatic Relations. I have also gained proficiency as a Corporate Liaison, utilizing my strong background in accounting, finance, and legal, with a Bachelor's degree (B.A.) from California State University. My Administrative Skills further strengthen my ability to contribute to the growth and success of any organization.
Genocide in International Criminal Law.pptxMasoudZamani13
Excited to share insights from my recent presentation on genocide! 💡 In light of ongoing debates, it's crucial to delve into the nuances of this grave crime.
This document briefly explains the June compliance calendar 2024 with income tax returns, PF, ESI, and important due dates, forms to be filled out, periods, and who should file them?.
Business law for the students of undergraduate level. The presentation contains the summary of all the chapters under the syllabus of State University, Contract Act, Sale of Goods Act, Negotiable Instrument Act, Partnership Act, Limited Liability Act, Consumer Protection Act.
Defending Weapons Offence Charges: Role of Mississauga Criminal Defence LawyersHarpreetSaini48
Discover how Mississauga criminal defence lawyers defend clients facing weapon offence charges with expert legal guidance and courtroom representation.
To know more visit: https://www.saini-law.com/
1. 12 of 20 DOCUMENTS
AWARD
NASD REGULATION, INC.
In the Matter of the Arbitration Between: Walter A. Moede, Jr., Claimant
v.
Web Street Securities, Inc., Johnny Fiscus, and Edward McCarthy, Respondents
Case Number: 01-00806
2003 NASD Arb. LEXIS 141
January 30, 2003
COUNSEL:
[*1] Claimant Walter A. Moede, Jr. ("Moede") was represented by Laurence M. Landsman, Esq. of the firm Block &
Landsman located in Chicago, Illinois.
Respondent Web Street Securities, Inc. ("Web Street") was represented by Michael T. Foley, Esq. of the firm Katten
Muchin Zavis located in Chicago, Illinois.
Respondent Johnny Fiscus ("Fiscus") appeared pro se.
Respondent Edward McCarthy ("McCarthy") appeared pro se.
CASE-INFORMATION:
Claimant Moede signed the Uniform Submission Agreement: February 13, 2001.
Respondent Web Street signed the Uniform Submission Agreement: April 12, 2001.
Respondent Fiscus signed the Uniform Submission Agreement: April 11, 2001.
Statement of Claim filed on or about: February 16, 2001.
Statement of Answer filed by Respondent WebStreet on or about: December 14, 2001.
Statement of Answer filed by Respondent Fiscus on or about: April 16, 2001.
Amended Statement of Claim filed on or about: November 14, 2001.
Respondent Web Street's Amended Statement of Claim filed on or about: December 13, 2001.
Claimant's Arbitration Brief filed on or about: November 18, 2002.
Respondent Web Street's Arbitration Brief filed on or about: November 19, 2002.
Hearing Site: Chicago, Illinois
CASE-SUMMARY:
Claimants [*2] Moede asserted the following causes of action: breach of fiduciary duty; failure to supervise; control
person liability; unsuitability; Illinois Consumer Fraud violations; civil conspiracy; and common law fraud.
The causes of action relate to the use of Claimant's account to fund investments in public and private debt and equity
markets, investments in real estate, and trading of derivative instruments.
Unless specifically admitted in its Answer, Respondent Web Street denied the allegations made in the Statement of
Claim and asserted the following defenses:
1. Web Street is not a New York Sock Exchange member and therefore NYSE Rules do not apply;
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2. 2. There is no private cause of action for any violation of NYSE Rules;
3. Web Street did not, directly or indirectly, share in the profits or losses in Claimant's account
4. Claimant assumed the risk of his alleged losses;
5. Claimant failed to mitigate damages;
6. At all relevant times, Web Street provided sufficient training to its supervisory personnel;
7. Web Street did not encourage Ficus' solicitation of Claimant, oversee the account, or have any duties with respect to
Claimants account;
8. Claimant is barred by estoppel and or [*3] unclean hands;
9. Web Street does not have the duty to supervise the conduct of former employees or employees that act outside the
scope of their authority;
10. Web Street acted in full compliance with all applicable statutes, rules and regulations;
11. Web Street did not enter into an agreement to participate in an unlawful act or a lawful act in an unlawful manner;
and
12. Web Street did not cause Claimant's alleged losses.
Unless specifically admitted in his Answer, Respondent Fiscus denied the allegations made in the Statement of Claim
and asserted the following defenses:
1. Fiscus did not solicit Claimant, rather Claimant repeatedly ask for his assistance;
2. Claimant represented that he was an experienced investor;
3. Fiscus was not a registered representative of Web Street; and
4. Fiscus did not defraud or intend to defraud Claimant.
RELIEF-REQUESTED:
Claimant Moede requested:
Compensatory Damages $ 330,000.00
Punitive Damages $ 100,000.00
Attorneys' Fees unspecified
Other Costs unspecified
Other Monetary/Non-Monetary Relief if any: as panel deems appropriate
Respondent Web Street requested:
Attorneys' Fees unspecified
Other Costs unspecified
Other Monetary/Non-Monetary Relief if any: that the claims filed against it
be dismissed in their entirety
[*4]
OTHER-ISSUES:
Upon review of the file and the representations made by/on behalf of the Claimant, the undersigned arbitrators the
"Panel" determined that Respondent Johnny Fiscus and Edward McCarthy have been properly served with the
Statement of Claim and received due notice of the hearing, and that arbitration of the matter would proceed without said
Respondent present, in accordance with the NASD Code of Arbitration Procedure (the "Code").
Pursuant to Rule 10328 of the Code, the panel accepted the Claimant's Amended Statement of Claim.
Respondent Edward McCarthy did not file with NASD Dispute Resolution, Inc. a properly executed submission to
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2003 NASD Arb. LEXIS 141, *2
3. arbitration. Notwithstanding, he is required to submit to arbitration pursuant to Rule 10301 of the Code and is bound by
the determination of the Panel on all issues. submitted.
On January 10, 2003 Claimant Moede notified NASD that he had settled his claims with respect to Respondent Web
Street. As a consequence, the Panel did not adjudicate these claims.
AWARD:
After considering the pleadings, the testimony and evidence presented at the hearing, the Panel has decided in full and
final resolution of the issues submitted for determination as follows:
1. [*5] Respondents Johnny Fiscus and Edward McCarthy are jointly and severally liable for and shall
pay to Claimant Walter A. Moede, Jr. the sum of $ 210,000.00 as compensatory damages. As a
consequence of the settlement reached between Claimant Walter A. Moede, Jr. and Respondent Web
Street Securities, Inc. on January 28, 2003, Respondents Johnny Fiscus and Edward McCarthy are
entitled to setoff against the amount of compensatory damages assessed against them by the Arbitration
Panel any monies paid to Claimant Walter A. Moede, Jr. by Respondent Web Street Securities, Inc. in
accordance with that settlement. Accordingly, the Arbitration Panel hereby orders Claimant Walter A.
Moede, Jr. to disclose to Respondents Johnny Fiscus and Edward McCarthy the amount of the monetary
settlement agreed to with Respondent Web Street Securities, Inc. for purposes of calculating any setoff.
2. Respondent Johnny Fiscus is solely liable for and shall pay to Claimant Walter A. Moede, Jr. the sum
of $ 75,000.00 as punitive damages. After considering the arguments, pleadings, and briefs, the Panel has
determined that it has the authority to make an award of punitive damages.
3. Respondent Edward McCarthy [*6] is solely liable for and shall pay to Claimant Walter A. Moede, Jr.
the sum of $ 25,000.00 as punitive damages. After considering the arguments, pleadings and briefs, the
Panel has determined that it has the authority to make an award of punitive damages.
4. Unless specified otherwise herein, the parties shall each bear their own costs, including attorneys' fees.
5. Any and all other relief not specifically addressed herein is denied.
FORUM-FEES:
Pursuant to the Code, the following fees are assessed:
Filing Fees
NASD Dispute Resolution, Inc. will retain or collect the non-refundable filing fees for each claim:
Initial claim filing fee = $ 300.00
Member Fees
Member fees are assessed to each member firm that is a party in these proceedings or to the member firm that employed
the associated person at the time of the events giving rise to the dispute. Accordingly, Webstreet Securities, Inc. is
responsible for the following fees.
Member surcharge = $ 1,500.00
Pre-hearing process fee = $ 600.00
Hearing process fee = $ 2,500.00
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2003 NASD Arb. LEXIS 141, *4
4. Total = $ 4,600.00
Adjournment Fees
Adjournments granted during these proceedings for which fees were assessed:
Claimant requested adjournment [*7] of the hearing dates set for July 16-18, 2002. = $ 1,125.00
Forum Fees and Assessments
The Panel has assessed forum fees for each session conducted. A session is any meeting between the parties and the
arbitrators, including a pre-hearing conference with the arbitrators, that lasts four (4) hours or less. Fees associated with
these proceedings are:
One (1) Pre-hearing session with Panel at $ 1,125.00 = $ 1,125.00
Pre-hearing conference: December 04, 2001 1 session
Seven (7) Hearing sessions at $ 1,125.00 = $ 7,875.00
Hearing Dates: December 09, 2001 2 sessions
December 10, 2001 2 sessions
December 11, 2001 2 sessions
December 23, 2001 1 session
Total Forum Fees = $ 9,000.00
1. The Panel has assessed $ 1,125.00 of the forum fees to Walter A. Moede, Jr.
2. The Panel has assessed $ 7,875.00 of the forum fees jointly and severally to Web Street Securities, Johnny Fiscus and
Edward McCarthy.
FEE SUMMARY
1. Claimant Walter A. Moede, Jr. is solely liable for:
Initial Filing Fee = $ 300.00
Adjournment Fee = $ 1,125.00
Forum Fees = $ 1,125.00
Total Fees = $ 2,550.00
Less payments = $ 1,425.00
Balance Due NASD Dispute Resolution, Inc. = $ 1,125.00
2. Respondent [*8] Webstreet Securities, Inc. is solely liable for:
Member Fees = $ 4,600.00
Total Fees = $ 4,600.00
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2003 NASD Arb. LEXIS 141, *6
5. Less payments = $ 4,600.00
Balance Due NASD Dispute Resolution, Inc. = $ 0.00
3. Respondents Web Street Securities, Inc., Johnny Fiscus, and Edward McCarthy are jointly and severally liable for:
Forum Fees = $ 7,875.00
Balance Due NASD Dispute Resolution, Inc. = $ 7,875.00
All balances are payable to NASD Dispute Resolution, Inc. and are due upon receipt pursuant to Rule 10330(g) of the
Code.
ARBITRATORS:
Concurring Arbitrators: Bonnie L. Macfarlane, Esq., Public Arbitrator, Presiding Chairperson; David G. Duggan, Esq.,
Public Arbitrator; Willaim J. Bayer, Non-Public Arbitrator
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2003 NASD Arb. LEXIS 141, *8