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11 Mar 2022, 10:05 am by The White Law Group
FINRA Fines Deutsche Bank Securities, Inc. $2 Million For Best Execution Violations  The Financial Industry Regulatory Authority (FINRA) announced that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek “best execution” for its customers’ orders, according to a press release on March 8. [read post]
23 Nov 2012, 3:35 am by Dianne Saxe
Velocity Inc., in Valleyfield, Quebec, and Stéphane Poirier, its President, were fined $37,200 after pleading guilty to illegally importing 600 cylinders of a popular refrigerant chlorodifluoromethane (HCFC-22, or R? [read post]
31 Jul 2020, 10:00 am by Silver Law Group
The post VALIC Financial Advisors Inc., An AIG Subsidiary, Fined $20 Million For Misleading Florida Teachers appeared first on Securities Arbitration Lawyers Blog. [read post]
29 Apr 2010, 4:41 am by Director
A Great Britain building firm was fined after refurbishment work triggered the temporary closure of a country club near Darlington over fears of exposure to asbestos. [read post]
11 May 2016, 11:31 am by D. Daxton White
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for allegedly inadequately supervising firm-wide internal “flash” emails sent by its research analysts to convey information about companies and industries the firm covered. [read post]
27 Mar 2013, 1:53 pm by Paul Greenberg
The enforcement includes settlements announced in 2012 with Prudential Company of America and MetLife Inc., as well as a multi-state investigation of American International Group Inc. [read post]
21 Sep 2017, 1:07 pm by Gene Quinn
On Monday, September 4th, a South Korean court denied a request made by San Diego, CA-based semiconductor developer Qualcomm Inc. [read post]
5 Mar 2018, 9:32 am by Eugene Volokh
My Scott & Cyan Banister Amicus Brief Clinic students Tyler Hastings, Karyan Leung, and Brigid Mahoney and I have just filed an amicus brief supporting the petition, on behalf of my colleague Beth Colgan -- one of the top Excessive Fines Clause scholars in the country -- and 16 other professors: Chiraag Bains, Kevin Bennardo, Bruce L. [read post]
11 Apr 2014, 3:11 pm
For instance, we recently commented regarding FINRA's announcement on February 24, 2014 of a $775,000 fine for Berthel Fisher & Company Financial Services, Inc. and its subsidiary for failure to supervise brokers on recommendations and sales of alternative investments such as non-traded real estate investment trusts (REITs) and leveraged and inverse exchange-traded funds (ETFs). [read post]
15 Mar 2016, 12:45 pm
But local governments across the country are using threats of jail and actual imprisonment to secure payments toward court fines and fees. [read post]
25 Feb 2016, 10:00 pm by Dan Flynn
Reade imposed additional fines — $20,000 on Midamar and $60,000 on ISA Inc. [read post]