An NASD arbitration panel found HSBC Brokerage (USA) Inc., liable for $776,000 for negligent misrepresentations and omissions in the sale of a structured note. On Friday, May 4, 2007, the NASD panel awarded $776,000 to Rayburn Enterprises and a related trust. Rayburn Enterprises was represented by Dempsey & Johnson, a Los Angeles, California law firm.
“It […]
Just one week ago, a three-member arbitration panel cleared Kmart’s former chief executive, Charles C. Conaway, of alleged fraud, mismanagement and corporate looting. Now, the U.S. Securities and Exchange Commission has accused Conaway and former Chief Financial Officer John T. McDonald of misleading investors about the discount retailer’s finances. Conaway and McDonald stand […]
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An open letter to HSBC, Knight Vinke and Stephen Green
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