People v. Riggs - Criminal Case Filing

The California Supreme Court has filed a new criminal case, People v. Riggs (Case No. D085449). The filing date was October 1, 2024. This represents the initiation of a new appellate proceeding.

Clapkin v. Levin - Civil Case Filing

The California Supreme Court has received a filing for the civil case Clapkin et al. v. Levin et al. The case was filed on August 21, 2024, under appellate court case number B340606. Further details regarding the disposition, parties, and trial court information are available.

Clarke v. Yu - Civil Case

The California Supreme Court has docketed a new civil case, Clarke et al. v. Yu et al. (Case No. D085636). The filing date for this case was January 28, 2025. This entry represents the initial filing of the appeal.

The People v. Dunn - Criminal Appeal

This entry provides search results for case number A172594, identified as 'The People v. Dunn', originating from the 1st Appellate District of California. The results link to detailed case information for this criminal appeal.

Edward D. Jones & Co. L.P. - Consent Order for Supervision Failures

The Rhode Island Department of Business Regulation issued a consent order against Edward D. Jones & Co., L.P. for failures in supervising financial advisors who serviced customers during a two-year period. The order stems from a multistate investigation coordinated by NASAA.

TradeStation Crypto Inc. Consent Order Regarding Digital Asset Accounts

The Rhode Island Department of Business Regulation Securities Division issued a consent order against TradeStation Crypto, Inc. (TCI) concerning its digital asset accounts. TCI will pay $1,500,000 in settlement payments and cease offering unregistered securities.

Vanguard Marketing Corporation and Vanguard Group Consent Order

The Rhode Island Securities Division has entered into a consent order with Vanguard Marketing Corporation and The Vanguard Group, Inc. The order resolves an investigation into Vanguard's recommendation to lower investment minimums for certain funds, resulting in capital gains tax distributions to shareholders. Vanguard has agreed to the terms of the settlement.

Thomas A. Vigil - Consent Agreement

The State of Rhode Island Securities Division has entered into a consent agreement with Thomas A. Vigil. The agreement addresses alleged violations of securities regulations, including unregistered securities and unlicensed activity. Specific sanctions and undertakings are outlined.

Rhode Island Securities Division Consent Agreement with Strategic Financial LLC

The Rhode Island Securities Division has entered into a consent agreement with Strategic Financial LLC for violations of the Rhode Island Uniform Securities Act. The firm will pay a $3,000 penalty for conducting business without proper registration as an investment adviser in the state.

In re Roundup Products Liability Litigation - Conditional Transfer Order

The U.S. District Court for the Northern District of California has filed a Conditional Transfer Order (CTO-561) in the In re Roundup Products Liability Litigation. This order, signed by the MDL Panel on March 17, 2026, pertains to multidistrict litigation concerning the alleged carcinogenic qualities of glyphosate-based herbicides.