Search for: "Cooper Financial, LLC"
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25 Oct 2023, 7:36 am
Financial Advisors who have engaged in misconduct or otherwise violated FINRA rules or regulations frequently surrender their license rather than cooperate in a FINRA investigation. [read post]
24 Oct 2023, 9:01 pm
And if despite all of your efforts, you do detect a securities law violation, the best thing to do would be to self-report and cooperate. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC company order | SEC CEO order | SEC HCCIR order | SEC CFO order SEC gives cooperation credit for self-reporting disclosure failure In the Matter of View, Inc. [read post]
3 Oct 2023, 8:44 am
Morgan Securities LLC, and J.P. [read post]
2 Oct 2023, 6:52 am
Attorney’s Office for the Northern District of Texas announced a settlement with Oliver Street Dermatology Management LLC. [read post]
28 Sep 2023, 7:35 pm
At one point in his order, Justice Engoron referred to the limited liability companies that he had shut down as “the canceled LLCs. [read post]
27 Sep 2023, 8:52 am
Manish previously was a board-certified plastic surgeon and owner of Artisan Surgery Center, LLC. [read post]
27 Sep 2023, 5:42 am
The Anti-Kickback Statute is intended to ensure that medical providers’ judgments are not compromised by improper financial incentives and are instead based on the best interests of their patients.The settlements announced today resolve allegations that Drs. [read post]
21 Sep 2023, 9:01 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Susan Block-Lieb, the Cooper Family Chair of Urban Legal Issues at Fordham Law School, argued against criticism that the Consumer Financial Protection Bureau lacks accountability due to its regulatory and financial independence and single-director leadership. [read post]
20 Sep 2023, 2:10 am
Christine Cooper is the CEO of aequum LLC and the Co-Managing Member of Koehler Fitzgerald LLC, a law firm with a national practice. [read post]
20 Sep 2023, 2:10 am
Christine Cooper is the CEO of aequum LLC and the Co-Managing Member of Koehler Fitzgerald LLC, a law firm with a national practice. [read post]
15 Sep 2023, 6:18 am
Oliver Street Dermatology Management LLC, dba U.S. [read post]
12 Sep 2023, 12:29 pm
In contrast, the § 4-4.112 Guidelines have remained largely under the radar, but the Verizon settlement highlights the potential financial benefits for companies that take steps to disclose misconduct, cooperate with the government’s investigation, and implement remedial measures. [read post]
8 Sep 2023, 12:51 pm
However, Sternadel reportedly refused to cooperate with this request. [read post]
8 Sep 2023, 6:30 am
Schwarcz (Duke University), on Thursday, September 7, 2023 Tags: Asset management, bank failure, Financial regulation, fraud, Monetary policy, Risk Board Oversight of Diversity, Equity, and Inclusion Posted by Blair Jones (Semler Brossy), Anna Natapova (Semler Brossy), and Chuck Gray (Egon Zehnder), on Thursday, September 7, 2023 Tags: Board oversight, Corporate culture, dei, Diversity, frameworks, recruitment, Risk, strategy, talent [read post]
8 Sep 2023, 6:30 am
Schwarcz (Duke University), on Thursday, September 7, 2023 Tags: Asset management, bank failure, Financial regulation, fraud, Monetary policy, Risk Board Oversight of Diversity, Equity, and Inclusion Posted by Blair Jones (Semler Brossy), Anna Natapova (Semler Brossy), and Chuck Gray (Egon Zehnder), on Thursday, September 7, 2023 Tags: Board oversight, Corporate culture, dei, Diversity, frameworks, recruitment, Risk, strategy, talent [read post]
31 Aug 2023, 7:38 am
Florida contractor, HX5, LLC, and its CEO Margarita Howard, have agreed to settle a Small Business Administration (SBA) set-aside contract fraud case. [read post]
22 Aug 2023, 7:37 am
The parties have agreed to cooperate with the Department of Justice’s investigations of, and litigation against, other participants in the alleged schemes [read post]
18 Aug 2023, 9:04 am
Advisory services offered through Per Stirling Capital Management, LLC. [read post]
11 Aug 2023, 11:40 am
Cooperation: Because collaborative law requires spouses to openly communicate and cooperate throughout the process, it can foster better post-divorce relationships. [read post]
