Sentences with phrase «claim of financial misconduct»

State Senate leader Dean Skelos and his son are being probed by the US Attorney's Office, which has convened a grand jury and presented evidence about possible corruption in the latest claim of financial misconduct to rock Albany, sources said.

Not exact matches

Regrettably, the Department failed to restore Pell eligibility to borrowers found harmed by other school misconduct, including those with valid claims to a borrower defense to repayment or to discharge based on their school's false certification of eligibility for financial aid.

Our Private Wealth and Fiduciary litigators represent clients in cases involving claims of breach of fiduciary duty, fiduciary misconduct and fraud, misfeasance and malfeasance in estate administration, investment mismanagement, financial elder abuse, and will and trust contests.

Our Savannah business law attorneys bring complaints for business and consumer fraud, violations of the relevant business laws, intellectual property dispute claims, and other financial misconduct actions.

Lombardo v Nomura International plc 2016 Unfair dismissal claim of a senior banker dismissed on grounds of gross misconduct involving the obligations of «registered persons» under the Financial Conduct Authority (FCA) regulatory regime subject to considerable press overage.

79 DOS 99 Matter of DOS v. Pagano - disclosure of agency relationships; failure to appear at hearing; proper business practices; unauthorized practice of law; unearned commissions; vicarious liability; fraudulent practice; jurisdiction; ex parte hearing may proceed upon proof of proper service; DOS has jurisdiction after expiration of respondents» licenses as acts of misconduct occurred and the proceedings were commenced while the respondents were licensed; licensee fails to timely provide seller client with agency disclosure form prior to entering into listing agreement and fails to timely provide agency disclosure form to buyer upon first substantive contact; broker fails to make it clear for which party he is acting; broker violates 19 NYCRR 175.24 by using exclusive right to sell listing agreement without mandatory definitions of «exclusive right to sell» and «exclusive agency»; broker breaches fiduciary duties to seller clients by misleading them as to buyer's ability to financially consummate the transaction; broker breaches his fiduciary duty to seller by referring seller to the attorney who represented the buyers when he knew or should have known such attorney could not properly protect seller's interests; improper for broker to use listing agreements providing for broker to retain one half of any deposit if forfeited by buyer as such forfeiture clause could, by its terms, allow broker to retain part of the deposit when broker did not earn a commission; broker must conduct business under name as it appears on license; broker engaged in the unauthorized practice of law in preparing contracts for purchase and sale of real estate which did not contain a clause making it subject to the approval of the parties» attorneys and were not a form recommended by a joint bar / real estate board committee; broker demonstrated untrustworthiness and incompetency in using sales contract which purported to change the terms of the listing agreement to include a higher commission; broker demonstrated untrustworthiness and incompetency in using contracts of sale which were unclear, ambiguous, vague and incomplete; broker failed to amend purchase agreement to reflect amendment to increase deposit amount; broker demonstrated untrustworthiness in back - dating purchase agreements; broker demonstrated untrustworthiness in participating in scheme to have seller hold undisclosed second mortgage and to mislead first mortgagee about the purchaser's financial ability to purchase; broker demonstrated untrustworthiness by claiming unearned commission and filing affidavit of entitlement for unearned commission; DOS fails to establish by substantial evidence that respondent acted as undisclosed dual agent; corporate broker bound by the knowledge acquired by and is responsible for acts committed by its licensees within the actual or apparent scope of their authority; corporate and individual brokers» licenses revoked, no action taken on application for renewal until proof of payment of sum of $ 2,000.00 plus interests for deposits unlawfully retained