Search for: "Cooper Industries, LLC"
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20 Jan 2012, 12:27 pm
They recently announced the filing of criminal charges against seven more individuals, including hedge fund executives and portfolio managers, as well as guilty pleas by three cooperating defendants of Level Global Investors LP and mutual fund company Neuberger Berman Group LLC. [read post]
9 Sep 2020, 7:24 am
Murphy was most recently registered with Monmouth Capital Management LLC from 2018-2019. [read post]
2 May 2018, 5:54 am
Cooper Industries, LLC, Plaintiff-Respondent, v. [read post]
19 Mar 2012, 11:11 am
The investigation resulted in two settled enforcement actions last year against AXA Rosenberg Group LLC and Barr M. [read post]
27 Apr 2011, 4:13 pm
Cooper Industries, LLC, 97 U.S.P.Q. 2d 1885 (Fed. [read post]
14 May 2018, 1:22 pm
He has been employed at Aegis Capital Corp. from 2016 until his bar from the industry. [read post]
25 Jun 2018, 12:57 pm
The ability to safely share information on a blockchain will also lighten the burden of business management, able to quickly access relevant data from business and industry partners as well as different hubs of the same company. [read post]
8 Jun 2021, 11:52 am
FINRA has barred former Wells Fargo broker Mario Rivero, Jr. from the securities industry for failing to cooperate with a FINRA investigation into allegations made by two former customers. [read post]
14 Jun 2021, 7:48 am
Pizzimenti was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation related to improper trading in customer accounts while associated with Worden Capital Management LLC in New York. [read post]
27 Mar 2013, 1:42 pm
The Appeals Court summarized the case saying, Universal Crop Protection Alliance, LLC, a formulator and distributor of a herbicide known as 2,4-D (or 2,4-D Amine), and its parent company, Universal Cooperatives (collectively, Universal), successfully defended a lawsuit brought by a group of cotton farmers in Arkansas state court for damages arising from off-target aerial application of the herbicide. [read post]
24 Sep 2020, 1:33 pm
Rate plan optimization is well-understood in the telecommunications expense management industry, and the wireless carriers regularly engage in the process for their Fortune 500 customers. [read post]
8 Jan 2020, 6:30 am
Author Michael Stack, CEO Amaxx LLC. [read post]
2 Nov 2017, 11:05 am
In Cooper Industries, LLC v. [read post]
2 Nov 2017, 11:05 am
In Cooper Industries, LLC v. [read post]
19 May 2014, 4:42 am
The Financial Industry Regulatory Authority (FINRA) recently barred LPL Financial, LLC (LPL) broker Reniero Francisco (Francisco) concerning allegations that the broker failed to cooperate with FINRA’s investigation of Francisco’s involvement with Arista LLC, a registered Commodity Pool Operator (CPO) with its principal place of business in Newport Coast, California. [read post]
12 Aug 2020, 10:51 am
Bryant Caveness, Ameriprise Financial Services, Kingsport, TN FINRA Bars Bryant Caveness for Failure to Cooperate with its Investigation According to Financial Advisor IQ on July 27, citing a document from the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bryant Caveness for failure to provide information in its investigation into his “potential receipt of checks from senior customers. [read post]
10 Mar 2021, 1:44 pm
Warner, who has a history of customer complaints and disciplinary action, was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation in whether Mr. [read post]
23 Mar 2021, 12:23 pm
Mackland was barred from the brokerage industry for refusing to cooperate with a FINRA investigation into alleged theft and fraudulent sales practices. [read post]
17 May 2021, 2:23 pm
Viyella was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation. [read post]
25 Mar 2024, 3:25 am
Tang wrote, “it is an insult to my and my father’s history to allow Orchard [ ] and Tangy Noddle [sic] to continue to use our reputations in the New York restaurant industry without my approval. [read post]
