Search for: "Alabama Securities Commission"
Results 41 - 60
of 544
Sorted by Relevance
|
Sort by Date
25 Sep 2014, 5:43 am
It is a matter of homeland security and what is properly obtainable under Alabama law. [read post]
12 Feb 2015, 6:49 am
McLaughlin received over $8,000 in commissions. [read post]
3 Jul 2009, 11:31 am
Securities and Exchange Commission. [read post]
18 Dec 2013, 9:41 am
The court held that reinstatement was not an effective remedy and both women attempted to secure substantially similar employment after being terminated from ASU. [read post]
7 Apr 2010, 10:06 am
In related news, the Alabama Securities Commission, the Kentucky Department of Financial Institutions, the Mississippi Secretary of State's office and the South Carolina Office of the Attorney General have filed a joint Notice of Intent to revoke the registration and impose an administrative penalty on JP Morgan for assorted unethical and illegal activities. [read post]
22 Jan 2009, 2:11 pm
The legislation would authorize $80 million for 500 new FBI agents, $20 million for 100 investigators at the Securities and Exchange Commission, and $10 million for 50 new assistant U.S. attorneys. [read post]
30 Jun 2014, 8:34 am
The FBI and Alabama Securities Commission investigated the case, which Assistant U.S. [read post]
9 Dec 2009, 7:40 am
Krebs, a former director of the Alabama Securities Commission On Nov. 10, Sen. [read post]
24 Nov 2017, 3:00 am
” The defendants pointed to sections of the Alabama Code that granted the Medical Licensure Commission the power to levy fines on medical practitioners up to $10,000 for each failure to maintain a medical record. [read post]
27 Jul 2010, 3:56 am
The Securities and Exchange Commission today announced a Fair Fund distribution of more than $106 million to investors harmed in a financial fraud at HealthSouth Corporation.The Fair Fund for HealthSouth Corporation fraud victims resulted from an SEC enforcement action in March 2003 after which HealthSouth paid $100 million to settle SEC charges that it falsely inflated earnings to meet Wall Street expectations. [read post]
8 Apr 2010, 7:38 am
Memphis broker Morgan Keegan & Co. faces fraud charges by the Securities and Exchange Commission (SEC). [read post]
17 Jun 2020, 2:05 pm
Before joining Kestra in 2015, Daughtry worked for Ameriprise Financial Services, Securities America, Sterne Agee Financial Services, Wachovia Securities, Southtrust Securities, and Liberty Securities Corporation. [read post]
4 Apr 2019, 2:00 pm
A trove of photographs depicting brutalized and murdered prisoners in Alabama’s St. [read post]
24 Mar 2015, 6:18 am
In the words of Linda Chatman Thomsen (Director, Division of Enforcement, Securities and Exchange Commission) “Corporate character matters—and employees take their cues from the top. [read post]
27 May 2014, 8:28 am
Alabama Securities Commission Director Joseph Borg, said, “The Alabama Securities Commission is proud to have joined the collaborative efforts of the federal and state law enforcement agencies and their professional staff members to see that justice is served for the victims in this important case. [read post]
9 Mar 2011, 12:51 pm
Alabama Bid Bonds: Alabama Building Commission form C-4 requires a bid bond’s penal sum to be 5% of the principal’s bid amount without exceeding $10,000. [read post]
5 May 2021, 7:46 am
In 2020, the Alabama Securities Commission (ASC) issued an order prohibiting the companies and Maroney from further sales in Alabama. [read post]
6 Aug 2007, 9:10 am
Why would they need securities arbitration? [read post]
22 Apr 2020, 2:13 pm
Without transparency, accountability, and proper security protocols in place, face recognition systems will be subject to misuse. [read post]
2 Aug 2017, 11:13 am
The Securities and Exchange Commission today announced the promotion of Donna Esau to Associate Regional Director for Examinations in the agency's Atlanta Regional Office.Ms. [read post]
