Search for: "National Association Of Securities Dealers, Inc."
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12 Mar 2010, 8:41 am
In December 2009, the Financial Industry Regulatory Authority (“FINRA”) proposed changes to the consolidated FINRA rulebook, which incorporated the National Association of Securities Dealers (“NASD”) rules on registration and qualifications. [read post]
26 May 2015, 12:15 pm
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
4 Apr 2018, 8:46 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
2 Apr 2007, 3:00 am
The National Association of Securities Dealers ("NASD") requires that, whenever a registered employee is terminated, a member firm must fill out and submit to the association a termination form ("Form U-5"), which the NASD retains and makes available to any member firm upon request. [read post]
5 Dec 2020, 12:44 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. [read post]
24 May 2023, 7:02 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
15 Mar 2018, 10:46 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New… [read post]
1 Dec 2020, 7:41 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. [read post]
9 Nov 2022, 11:31 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
13 Apr 2016, 8:44 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
6 Apr 2018, 8:40 am
Broker dealers are required to inform clients of the risks associated with investment recommendations. [read post]
22 Sep 2009, 2:26 pm
Following a Texas securities fraud claim that Bank of America's Merrill Lynch, Pierce, Fenner & Smith Inc. allowed unregistered sales persons to sell securities, the Bank of America unit has agreed to pay $26.5 million as part of a national settlement over the allegations. [read post]
5 Apr 2018, 8:51 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Jun 2018, 11:32 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
28 Jun 2018, 11:32 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
13 Feb 2015, 6:42 am
As a result of alleged misconduct by Santos-Buch in 1994, the National Association of Securities Dealers, Inc. (“NASD”) (a self-regulatory organization ("SRO") and predecessor in interest to the Financial Industry Regulatory Authority, Inc. (“FINRA”)), institute... [read post]
6 Mar 2012, 8:33 am
Walsh from associating with any broker, dealer, or investment adviser. [read post]
6 Mar 2012, 8:33 am
Walsh from associating with any broker, dealer, or investment adviser. [read post]
8 Aug 2022, 11:39 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
