Search for: "The Regulatory Fundamentals Group LLC" Results 81 - 100 of 148
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5 Jan 2017, 11:37 am by Heidi A. Nadel
And that, of course, is one of the fundamental problems with Benoit.Majority rules rule. [read post]
5 Jan 2017, 11:37 am by Heidi A. Nadel
And that, of course, is one of the fundamental problems with Benoit.Majority rules rule. [read post]
3 Jan 2017, 4:28 pm by Kevin LaCroix
Second, as discussed here, in December 2016, collective investor groups negotiated a $1.0 billion partial settlement in the U.K. of the credit crisis-era claims asserted against RBS. [read post]
23 Nov 2016, 1:26 pm by Adam Weinstein
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael DiGaetano (DiGaetano) currently associated with Independent Financial Group, LLC (Independent Financial) alleging unsuitable investments, misrepresentations, fraud, negligence, breach of contract, and breach of fiduciary duty among other claims. [read post]
21 Nov 2016, 4:51 am by Adam Weinstein
  From February 2012 until December 2012 Thurnherr was registered with Obsidian Financial Group, LLC. [read post]
20 Oct 2016, 6:26 am by Dennis Crouch
  In re TC Heartland, LLC, No. 2016-105, at 10 (Fed. [read post]
7 Aug 2016, 3:43 am by SHG
The problem isn’t necessarily the state of the law, but the state of regulatory agencies that ignore the law in their quest to fundamentally re-engineer society. [read post]
16 Jun 2016, 2:48 pm by Kevin LaCroix
Securities and Exchange Commission’s (SEC’s) cybersecurity regulatory and enforcement onslaught continues . . . [read post]
29 Feb 2016, 4:43 pm by Kevin LaCroix
I would like to thank the firm and the group for their willingness to publish their memorandum on this site. [read post]
31 Dec 2015, 12:09 pm
Peiffer has also previously served as the president of thePublic Investors Arbitration Bar Association (PIABA), a group which has publicly criticized the FINRA Dispute Resolution process. [read post]
10 Dec 2015, 10:45 am by John Elwood
Kent Recycling Services, LLC v. [read post]
26 Nov 2015, 3:50 am by SHG
  Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
17 Nov 2015, 7:13 am by Adam Weinstein
In the most recent action, eleven claimants brought claims against Matrix Capital Group, Inc., John W. [read post]
19 Oct 2015, 8:00 am by Adam Weinstein
Thereafter since August 2010, Kipp has been associated with NFB Financial Group, LLC out of the firm’s Ventura, California office location. [read post]
6 Jun 2015, 10:24 am by Adam Weinstein
Since 2008 Persaud has been registered with The Concord Equity Group, LLC, Andrew Garrett Inc., Garden State Securities, Inc., and since May 2015, Buckman, Buckman & Reid, Inc. [read post]
26 May 2015, 9:51 am by Rebecca Tushnet
Lightsey, III, General Motors, LLC with Anna Shaw, counsel for GM with Hogan & Lovells (not testifying) Comments are solely directed at auto industry. [read post]
4 May 2015, 4:47 am by Rebecca Tushnet
 Under Act 120, genetic engineering is defined as “a process by which a food is produced from an organism or organisms in which the genetic material has been changed” through the application of in vitro nucleic acid techniques, fusion of cells, or hybridization techniques that overcome natural barriers, “where the donor cells or protoplasts do not fall within the same taxonomic group, in a way that does not occur by natural multiplication or natural recombination. [read post]