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12 Jun 2021, 1:56 pm
The Department’s solution is to amend “the initial tax rate for construction employers to be the greater of the initial rate for non-construction employers or the average rate for construction industry employers as determined by the department on each computation date, rounded up tothe next highest rate. [read post]
28 May 2021, 1:40 pm
According to FINRA Disciplinary actions for May 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Scott Kaufman Vanguard Marketing Corporation LPL Financial LLC Thomas Marino R.M. [read post]
28 May 2021, 10:52 am
LPL Financial LLC Zachary Bader National Securities Corporation Craig Scott Capital, LLC Peter Brown Oppenheimer & Co. [read post]
27 May 2021, 11:42 am
After his resignation from Morgan Stanley, Cahill spent five years, between 2013 and 2019, with Janney Montgomery Scott LLC. [read post]
27 May 2021, 11:42 am
After his resignation from Morgan Stanley, Cahill spent five years, between 2013 and 2019, with Janney Montgomery Scott LLC. [read post]
4 May 2021, 6:00 am
A panel sometime in June will showcase last year’s winners, and one in September will look at the state of the industry with speakers from each of the award’s three sponsors. [read post]
3 May 2021, 2:25 pm
Prior to that, Reed spent four years at Wells Fargo Clearing Services, LLC (CRD#: 19616) in Scottsdale, Arizona. [read post]
27 Apr 2021, 11:23 am
They have been supplanted by a dramatic rise in the number of pass-through business forms, such as S corporations and LLCs. [read post]
23 Apr 2021, 12:46 pm
FINRA has barred former LPL Financial LLC broker John Scott from the securities industry. [read post]
23 Apr 2021, 12:25 pm
Scott Silver recently presented on prosecuting Ponzi schemes to the American Association of Justice and has a successful track record of recovering money for Ponzi scheme victims. [read post]
21 Apr 2021, 12:30 pm
Escrow For International Purchases Global Resource purchases automotive and industrial materials and refines them to recycle the valuable metals they contain. [read post]
9 Apr 2021, 9:33 am
See Integra Med Analytics, LLC v. [read post]
8 Apr 2021, 1:28 pm
As a sometimes-film actor, Horwitz sold investors on his film industry experience and connections. [read post]
25 Mar 2021, 7:50 am
Note: The following is the testimony of Scott A. [read post]
18 Mar 2021, 10:28 am
WG Scottsdale LLC, 2021 WL 857372 (D. [read post]
5 Mar 2021, 11:37 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Richard Scott Shelley from the securities industry for one month and ordered him to pay a $5,000 fine. [read post]
26 Feb 2021, 1:53 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Scott Richard Hansen for three months from the securities industry over allegations that Mr. [read post]
23 Feb 2021, 11:38 am
Contact Scott L. [read post]
19 Feb 2021, 1:06 pm
The post Ex-Wells Fargo Advisor Scott Reed Barred from Securities Industry appeared first on The White Law Group. [read post]
18 Feb 2021, 5:14 am
Operator Of Highrise Advantage, LLC Indicted For Over $57 Million In Investment Fraud (DOJ Release)The Long Strange Trip of Rubin v. [read post]
