SEC Investment Adviser Public Disclosure database entry for EntryPoint Capital LLC. Primary source for AUM figures, fund structure, executive profiles, and regulatory registration status.
FINRA BrokerCheck record for Scout Trading LLC. Documents registration history, disciplinary events, and the $3,000,000 FINRA/NASDAQ censure and fine.
Primary enforcement document for the April 7, 2015 FINRA/NASDAQ $3,000,000 censure and fine against Scout Trading LLC for systematic Regulation SHO violations. Source for all naked redemption order statistics, ETF threshold data, and compliance findings.
Official FINRA press release announcing the March 2016 enforcement actions against Wedbush Securities and Scout Trading LLC for Regulation SHO violations. Corroborates primary enforcement document.
SEC press release announcing the January 2015 $14,000,000 penalty against BATS Global Markets and Direct Edge exchanges for failing to accurately describe order types and providing preferential information to HFT clients. Bleich not named — included for proximity context.
Full SEC Form ADV filing for EntryPoint Capital LLC, March 2025. Primary source for all AUM figures, fund structure, Cayman Islands architecture, executive ownership percentages, and client account data.
Justice Mary V. Rosado's January 17, 2025 Decision & Order (Motion 001) in Index No. 155721/2024. Confirmed: rooftop HVAC lacked a permit; roof is exclusive Limited Common Element of Unit 2. Source for all judicial findings cited.
First Department Appellate Division decision (May 24, 2022) in prior action Index 651188/2019. Critical holding: rejected the Bleichs' argument that DOB inaction conclusively established certificate of occupancy compliance. Giacovas listed as respondents' counsel.
U.S. District Judge Janis Sammartino's March 29, 2011 ruling granting anti-SLAPP motions, dismissing all claims, and finding that Giacovas "paraphrased Defendants' statements seemingly for maximum shock value." Also source for $198,877.50 fee sanction (April 20, 2015).
Business Wire press release confirming Lawrence E. Leibowitz's board appointment at Forge Global Holdings (NYSE: FRGE) in March 2024. Source for current board positions and institutional affiliations.
New Jersey Lawyers' Fund for Client Protection PHV Ineligible List confirming Robert A. Giacovas (PHV012046) as formally INELIGIBLE to practice law pro hac vice in New Jersey for periods ending June 30, 2025 and February 23, 2026. Arises from failure to pay mandatory annual assessment.