Search for: "Michael Pierce"
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30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP Morgan Securities … [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip JP… [read post]
22 Jan 2019, 1:08 pm
Ralph Michael Byer (CRD #1038411) is a registered broker and investment advisor currently employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) of Plantation, Florida, where he has been since 1982. [read post]
17 Jan 2019, 5:00 am
On Jan. 3, Secretary of State Mike Pompeo issued a preemptive warning to Iran, stating that its development of three space-launch vehicles “demonstrate[s] Iran’s defiance of UN Security Council Resolution (UNSCR) 2231”—the 2015 resolution endorsing the Joint Comprehensive Plan of Action (JCPOA) or “Iran deal”—on the grounds that the technology used in space-launch vehicles is “virtually identical to that used in ballistic missiles, including in… [read post]
10 Jan 2019, 1:19 pm
Writing in the Columbia Law Review, Michael Farbiarz argues that federal criminal prosecutions for extraterritorial conduct are not generally limited by minimum contacts-type analysis, although he argues that they should be. [read post]
7 Jan 2019, 9:51 am
Created during the New Deal, the TVA was described by the Supreme Court in Pierce v. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith… [read post]
25 Dec 2018, 9:30 pm
The Regulatory Review is pleased to highlight our top regulatory essays of 2018 authored by a select number of our many contributors. [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth The Benchmark Company, LLC… [read post]
18 Dec 2018, 11:03 am
Morgan Securities LLC Virginia Nichols LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Inc Michael Nickoli AXA Advisors, LLC NML Investors, LLC Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Issac Onu NY Life Securities LLC Wells Fargo Advisors, LLC Michael Resciniti Spartan Capital Securities, LLC First Standard Financial Company LLC… [read post]
5 Dec 2018, 2:00 am
Michael Manning is a partner with Ritchie Manning LLP in Billings and contributes to the Montana Employment Law Letter. [read post]
26 Oct 2018, 7:31 am
Craft Capital Management LLC David Rodgers Allstate Financial Services, LLC Rodgers Capital Management Michael Sekusky Jimmy Tran J.P. [read post]
1 Oct 2018, 6:00 am
Court Decisions and Developments Affecting Licensing (Source: SSRN) New Job Postings on Patently-O: Michael Best & Friedrich LLP Daly, Crowley, Mofford & Durkee, LLP Davidson Sheehan LLP RPX Corporation– Research Associate RPX Corporation–Senior Patent Engineer Pierce Atwood LLP Wenderoth, Lind & Ponack, L.L.P. [read post]
21 Aug 2018, 5:17 am
Morgan Securities LLC Michael Patrick Nanto J.P. [read post]
15 Aug 2018, 2:59 pm
Below the fold are the results of the 2018-2019 Law Professor Twitter Census. [read post]
9 Aug 2018, 9:01 pm
Jurors could not agree whether former utility regulator Gary Pierce, his wife, Sherry, lobbyist Jim Norton, and water company owner George Johnson had participated in a bribery scheme, as prosecutors alleged. [read post]
29 Jul 2018, 9:30 pm
As University of Virginia School of Law professor Michael Livermore has explained, the most important effect of Executive Order 12,291 was that it encouraged agencies to use excellent economists to improve the quality of their economic analysis of rules. [read post]
19 Jul 2018, 9:01 pm
Florida: ‘Look Right into My Soul,’ Michael Grieco Said. [read post]
9 Jul 2018, 12:43 pm
According to FINRA Disciplinary actions for June 2018, 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 Donald Nelson Bower III Edward Jones Invest Financial Corp Christopher Masharn Bruce Statefarm VP Management Corp Chris Bruce Insurance Agency … [read post]
9 Jul 2018, 12:37 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Michael P. [read post]
