Search for: "AUTOMATED TRANSACTIONS LLC"
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24 May 2016, 9:31 am
Lyons, LLC (CRD #453, Louisville, Kentucky)Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to identify and apply sales-charge discounts to certain customers’ eligible purchases of UITs, which resulted in customers paying excessive sales charges of $328,491. [read post]
18 May 2016, 8:19 am
”) Joao Bock Transaction Systems, LLC v. [read post]
3 May 2016, 1:42 am
”) Joao Bock Transaction Systems, LLC v. [read post]
18 Apr 2016, 9:58 am
Post Grant Admin: Interval Licensing LLC v. [read post]
1 Apr 2016, 8:22 am
Post Grant Admin: Interval Licensing LLC v. [read post]
17 Mar 2016, 2:45 am
Hill’s Pet Nutrition, Inc., No. 15-1062 (natural phenom case of tailoring a diet to a pet’s genomic characteristics) Eligibility Challenges: Joao Bock Transaction Systems, LLC v. [read post]
4 Mar 2016, 12:25 pm
Eligibility Challenges: Joao Bock Transaction Systems, LLC v. [read post]
17 Feb 2016, 9:20 am
§ 282(b)(2)) Eligibility Challenges: Joao Bock Transaction Systems, LLC v. [read post]
3 Feb 2016, 8:57 am
§ 282(b)(2)) Eligibility Challenges: Joao Bock Transaction Systems, LLC v. [read post]
3 Feb 2016, 7:27 am
” Zedan deposited the customer’s check in his personal bank account via an automated teller machine (ATM). [read post]
21 Oct 2015, 1:14 pm
Finally, firm supervisory structures typically are supported by automated systems, which help firms identify and address issues related to senior investors.Firms should study and use this valuable Report as a guide to improving their compliance with respect to senior investments.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
29 Jul 2015, 7:32 am
Case citation: Milo & Gabby, LLC v. [read post]
15 Jun 2015, 8:01 am
According to FINRA, the firm used a separate and flawed automated system to review its trade blotter that failed to provide trading activity past due for supervisory review. [read post]
26 May 2015, 11:32 am
These confirmation delivery failures affected 47,634 accounts and over 13 million transactions. [read post]
4 May 2015, 6:15 am
The proposal, know as Comprehensive Automated Risk Data System or CARDS, is simply mind boggling. [read post]
9 Jan 2015, 9:49 pm
Cir. 2014) (creating a transaction performance guaranty for a commercial transaction on computer networks such as the Internet); Accenture Global Servs., GmbH v. [read post]
7 Oct 2014, 7:31 am
As part of the company’s plan, LPL will continue to increase its use of technology and automation in the oversight process. [read post]
27 Jul 2014, 8:46 am
Redbox Automated Retail, LLC, 2014 WL 1920751 (C.D. [read post]
1 May 2014, 11:17 am
Once the company updated to an automated system, it was found that the database contained a programming error. [read post]
25 Apr 2014, 7:23 am
In re: Automated Transaction LLC Patent Litig., No. 13-MD-2429-SLR (D. [read post]
