Search for: "Michael Pierce"
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21 Jul 2020, 4:30 am
Other brokerage firms in Carter’s employment history are Merrill Lynch, Pierce, Fenner & Smith Incorporated, Financial Network Investment Corporation, and Dean Witter Reynolds Inc. [read post]
20 Jul 2020, 12:12 pm
They will join Michael E. [read post]
19 Jul 2020, 9:03 pm
Clarifying the Default for Anti-Discrimination Statutes July 27, 2020 | Michael C. [read post]
16 Jun 2020, 6:40 am
According to FINRA Disciplinary actions for May 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS George Belesis Portfolio Advisors Alliance, LLC John Thomas Financial Dustin Blount MML Investors Services, LLC Northwestern Mutual Investment Services, LLC… [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera Advisor Networks LLC … [read post]
20 May 2020, 2:25 pm
According to FINRA Disciplinary actions for January 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bressman, Michael FCG Advisors, LLC Merrill Lynch, Pierce, Fenner & Smith Inc Dannenberg, Stephanie Dineen, Mary Ann UBS… [read post]
8 May 2020, 9:47 am
Yee Yee Htwe Merrill Lynch, Pierce, Fenner & Smith Incorporated Farmers Financial Solutions, LLC Randy Jackson Merrill Lynch, Pierce, Fenner & Smith Incorporated E*Trade Securities LLC Scott Levine Craft Capital Management LLC PHX Financial, Inc. [read post]
30 Apr 2020, 1:53 pm
Post, March 4, 2018 Roe Pierce v. [read post]
21 Apr 2020, 8:02 am
” In commentary, online at The Los Angeles Times, columnist Michael McGough has an essay titled “Thanks to the Supreme Court, ’10 Angry Men’ can no longer send you to prison. [read post]
2 Mar 2020, 9:18 am
Magistrate Judge Michael E. [read post]
9 Jan 2020, 6:56 am
Incorporated (CRD#:8209) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of McLean, VA. [read post]
29 Dec 2019, 9:05 pm
The Regulatory Review is pleased to highlight our top regulatory essays of 2019 authored by a select number of our many expert contributors. [read post]
29 Dec 2019, 2:41 pm
The Fort Pierce seat is still open. [read post]
27 Nov 2019, 1:34 pm
Michael Busby Jr. [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Bennett,… [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley,… [read post]
31 Oct 2019, 11:18 am
Pursuant to TPC §46.01, the following have been defined as an illegal weapon in Texas: Bombs; Grenades; Rockets; Mines; Firearms; firearm silencers; handguns; knives with a blade over five and one-half inches; machine guns; rifles with a barrel length of less than 16 inches; shotguns with a barrel length of less than 18 inches; any altered shotgun or rifle with an overall length of less than 26 inches; armor-piercing ammunition; Hoax bombs; chemical dispensing devices other than a… [read post]
10 Oct 2019, 9:05 pm
According to Pierce, President Trump, however, has repealed environmental regulations even if the benefits exceed the cost. [read post]
7 Oct 2019, 11:41 am
Michael S. [read post]
27 Sep 2019, 6:00 am
Posted by Michael Ewens (California Institute of Technology) and Richard Townsend (UCSD), on Friday, September 20, 2019 Tags: Capital formation, Diversity, Entrepreneurs, Venture capital firms Statement on Volcker Rule Amendments Posted by Robert J. [read post]
