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5 Jun 2024, 3:38 pm
They must ensure the necessary procedures and systems to detect misconduct. [read post]
5 Jun 2024, 10:52 am
David Lerner CEO Under Investigation June 5, 2024: The CEO and president of David Lerner Associates Inc. is reportedly under investigation by the Financial Industry Regulatory Authority Inc. [read post]
2 Jun 2024, 9:01 pm
If new rules impact your operations or if recent enforcement actions highlight risk areas relevant to your business, it means evaluating whether you need to update your policies, procedures, and systems to stay apace and remain compliant. [read post]
31 May 2024, 11:49 am
Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
30 May 2024, 7:28 am
Thrivent Investment Management Sanctioned by Securities Regulators Thrivent Investment Management Inc has reportedly been fined $325,000 and sanctioned for failing to properly supervise electronic signatures, which led to the falsification and forgery of customer documents, according to the Financial Industry Regulatory Authority (FINRA). [read post]
24 May 2024, 7:03 am
Ticketmaster would either (1) be forbidden from using its ticketing data in its promotion and management business or (2) it would have to give that information to other managers and promoters. [read post]
22 May 2024, 1:33 pm
., LINDA MICHELLE BERNS, MASSEY CONSTRUCTION GROUP, INC., MARK B. [read post]
22 May 2024, 9:20 am
Core’s former TRW manager told him TRW had no ownership interest in the patent. [read post]
22 May 2024, 5:23 am
Exterro Donates Award-Winning Digital Forensics Solution to Empower 2024 IACIS Training Event Exterro, the leading provider of data risk management software solutions, announced today it will be supporting the 2024 International Association for Computer Information Systems (IACIS) Training Event by donating over $2.7 million in subscriptions to its renowned digital forensics solution, FTK Forensic Toolkit. [read post]
19 May 2024, 10:50 pm
The organization uses case managers for crisis intervention and safety planning to help survivors escape danger and unsafe situations. [read post]
19 May 2024, 4:01 am
Bombardier inc., 2022 QCCA 802; 2024 SCC 11 (40350) At the heart of this dispute is a Letter of Counter-Guarantee governed by Québec law. [read post]
13 May 2024, 6:41 am
One person who fulfills both capacities will necessarily have less time and attention to devote to any singular role, leading to less effective management of legal risks. [read post]
10 May 2024, 6:00 am
But it hasn’t worked out that way,” said Neil Saunders, managing director at GlobalData. [read post]
8 May 2024, 7:20 pm
Inc. reportedly settled with the Financial Industry Regulatory Authority (FINRA), agreeing to pay a $500,000 fine. [read post]
8 May 2024, 5:13 pm
About Solutions Laws Press, Inc. [read post]
8 May 2024, 2:26 pm
” Fiduciaries have no obligation to take into account the government’s failure to properly manage the Trust Fund when designing and monitoring their plans. [read post]
7 May 2024, 7:35 am
SagePoint (Osaic) Broker Barred for Allegations of Promissory Notes Sales February 15, 2024 – A former financial advisor registered with SagePoint Financial Inc. [read post]
4 May 2024, 8:31 pm
Solutions Law Press, Inc. invites you to receive future updates by registering on here and participating and contributing to the discussions in our Solutions Law Press, Inc. [read post]
2 May 2024, 2:27 pm
The “Inc. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
