Tag Archives: Allegations

Edward Wedbush Under Regulatory Scrutiny by NYSE Concerning Allegations of Failure to Supervise Certain Trades

On October 16, 2017, NYSE Regulation — the regulatory enforcement subsidiary of NYSE Arca, Inc. (“NYSE”) — filed a Complaint against Wedbush Securities Inc. (“Wedbush”) (CRD# 877), and its founder, Mr. Edward Wedbush.  The Complaint centers on Wedbush’s alleged systemic … Continue reading

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The Manafort Tampering Allegations

Special Counsel Robert Mueller has accused Paul Manafort of attempted witness tampering. If the allegations are true, Manafort will have violated the conditions of his release and might have his bail revoked. Judge Amy Berman Jackson has scheduled a hearing on the … Continue reading

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Industry magazine publisher can be sued under Lanham Act due to allegations of financial interest in competing businesses

NY Machinery Inc. v. Korean Cleaners Monthly, No. 17-cv-12269, 2018 WL 2455926 (D.N.J. May 31, 2018)Plaintiff Lee is the President of NY Machinery (NYM), which sells washing machines and dry-cleaning products, and also owns Kleaners LLC, a magazine publication for … Continue reading

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Broker Gary Basralian Barred, Arrested After Allegations Of Using Client’s Moneys For His Own Expenses

FINRA has barred former broker Gary Basralian (CRD# 14385) after allegations of stealing more than $2 million from two clients and using the money to pay his personal expenses. He is charged with two counts of wire fraud and one … Continue reading

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#METOO: An Employer’s Response to Sexual Harassment Allegations

Charles Swindoll once said, “I am convinced that life is 10% what happens to me and 90% of how I react to it.” Employers must prepare and react appropriately to sexual harassment in the workplace, and the failure of which … Continue reading

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