Search for: "National Registered Agents, Inc."
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15 Jan 2019, 11:40 am
Filco, Inc. (1996) 48 Cal.App.4th 1552, 1560, 56 Cal.Rptr.2d 333). [read post]
1 Jan 2019, 9:05 pm
Examples include cleaning agents, pesticides and certain metals. [read post]
28 Nov 2018, 9:15 am
According to Dietrich’s FINRA BrokerCheck report, he was a registered representative with Quest Capital Strategies, Inc. in Lake Forest, California from March 2013 until he was permitted to resign in April 2018 for “Failure to fully disclose outside business activities and sale of unapproved product. [read post]
6 Nov 2018, 1:49 pm
We will not resort to legislative tricks to avoid scrutiny.Stephen Harper has used prorogation to avoid difficult political circumstances. [read post]
19 Sep 2018, 7:19 am
Romer’s customers reportedly believed that CoreCap Solutions and P&R Capital were affiliated with his former employer, CoreCap Investments Inc. [read post]
17 Sep 2018, 7:56 am
Brokerage firms are required to adequately supervise their registered agents to ensure they are complying with FINRA rules. [read post]
3 Aug 2018, 11:55 am
You can “self-represent” as the LLC’s registered agent. [read post]
26 Jul 2018, 9:19 am
Rice, Inc. v. [read post]
17 Jul 2018, 1:40 pm
., Inc. v. [read post]
29 Jun 2018, 4:43 am
Kentucky pays Cannon Cochran Management Services, Inc. [read post]
21 Jun 2018, 10:30 am
. __ (2018) decision, the Court expressly overruled Quill (and National Bellas Hess, Inc. v. [read post]
21 Jun 2018, 10:17 am
Wayfair, Inc., Overstock.com, Inc., and Newegg, Inc. [read post]
18 Jun 2018, 5:27 pm
Books A Million, Inc. [read post]
3 Jun 2018, 2:18 pm
NASAA is the national voluntary membership association of the securities regulatory authorities in the 50 states, the District of Columbia, Puerto Rico, and the U.S. territories, as well as the provincial and territorial authorities in Canada and Mexico. [read post]
25 May 2018, 12:21 pm
As recently as 2015, Minden Pictures, Inc. v. [read post]
15 May 2018, 11:45 am
FINRA administers a dispute resolution forum for investors and brokerage firms and their registered employees. [read post]
26 Apr 2018, 12:27 pm
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. [read post]
16 Apr 2018, 4:48 pm
Securities and Exchange Commission (SEC) charged two co-founders of Centra Tech, Inc., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
12 Apr 2018, 9:01 pm
Federal: Investigators Focus on Another Trump Ally: The National EnquirerWRAL – Jim Rutenberg, Emily Steel, and Mike McIntire (New York Times) | Published: 4/11/2018 President Trump has deep connections with the country’s largest tabloid publisher, American Media Inc (AMI), which publishes The National Enquirer. [read post]
5 Apr 2018, 8:24 am
On March 7, 2018, the SEC released a public statement affirming its view that platforms that trade securities and operate as exchanges must register as a national securities exchange or operate under an exemption from registration. [read post]
