Guice is a former chief probation and parole officer and parole services manager in western North Carolina. He was elected to the General Assembly in 2008. He succeeds Tim Moose, who is being promoted to an administrative post in the Division of Adult ...more »
Casas cited an exchange in which the funds' lawyer Eliot Lauer questioned Rothstein about a conversation with Nordlicht. "Your best recollection is that if prospective investors or new investors would contact him, he would not give it a bad rating? ...more »
“There ought to be a law that explicitly deters such unethical, illegal behavior by members of Congress and punishes it when it happens,” said Sen. Joseph Lieberman, an independent from Connecticut, at a hearing examining how insider trading laws apply ...more »
The defendants, including three Saratoga County residents, face misdemeanor charges of failure to conduct a background check at a gun show. Additionally, Schneiderman has sent "cease and desist" letters to gun show promoters telling them to beef up ...more »
The partnership interests were not suitable investments for Kleck's clientele, given their age and investment objectives." Further, Oregon determined that, "LPL Financial, a licensed firm in Oregon, violated several securities laws, such as failing to ...more »
The comment by the new chairman of the China Securities Regulatory Commission (CSRC) was interpreted by industry experts as having set the tone for the watchdog's enforcement efforts. "Here we make a solemn declaration: the CSRC has zero tolerance for ...more »
