Search for: "Richard Andrew Broker"
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16 Apr 2016, 1:15 pm
As more plaintiff brokers offer trusts and other non-structured settlement products, and share commissions with defense brokers, NSSTA should consider helping its members better understand how settlement planning impacts the sale of structured settlements - creating new opportunities as well as risks. [read post]
9 Nov 2010, 10:07 am
Other participants include: Robin Shapiro, Earl Nesbitt, Matt Bracy, Andrew Savysky, Peter Vodola, Richard Risk, John Darer and Patrick Hindert - and continues prior NASP strategic discussions that featured: Stephen Harris, Jack Meligan and Michael Upchurch among others. [read post]
27 Oct 2017, 6:24 am
[more…] Congress Makes It Harder to Sue the Financial Industry by Andrew Ackerman and Yuka Hayashi The 51-50 vote handed the financial industry its most significant legislative victory since President Donald Trump took office and was a rebuke of Consumer Financial Protection Bureau Director Richard Cordray, who pressed ahead with his agenda in defiance of Republicans. [read post]
19 Apr 2018, 9:30 pm
Voting in opposition, Commissioner Kara Stein said the proposed rule “protects the broker-dealer, not the customer. [read post]
20 Nov 2009, 9:06 am
Panelists: Jeremy Babener; Matthew Bracy; Daniel Hindert; Richard Risk; Andrew Savysky; Robin Shapiro; Michael Upchurch. [read post]
23 Sep 2016, 6:05 am
Securities & Exchange Commission, on Friday, September 16, 2016 Tags: Algorithmic trading, Audit trail, Broker-dealers, Capital markets, Disclosure, Exchange-traded funds, Financial technology, FINRA, High-frequency trading, Investor protection, Market conditions, Market efficiency, Proprietary trading,REG SCI, SEC, Securities regulation, Transparency A Theory of Efficient Short-Termism Posted by Richard T. [read post]
8 Oct 2020, 9:05 pm
” New York Governor Andrew Cuomo imposed new restrictions on areas with rising COVID-19 positivity rates. [read post]
13 Feb 2009, 11:00 am
Connect with over 500 NYC real estate investors, developers, brokers, bankers and appraisers. [read post]
9 Feb 2015, 1:15 am
Heald (Richard W. [read post]
21 Feb 2024, 4:47 am
” Richard C. [read post]
3 Jan 2016, 5:33 am
In 2014 former Peanut Corporation of America owner Stewart Parnell, his brother and one-time peanut broker, Michael Parnell, and Mary Wilkerson, former quality control manager at the company’s Blakely, Georgia, plant, faced a federal jury in Albany, Georgia. [read post]
3 Jan 2016, 7:03 pm
The cucumbers were distributed by Andrew & Williamson Fresh Produce. [read post]
18 May 2016, 5:45 am
Regulation SHO, among other things, imposes “Locate” and “Close-Out” requirements on broker-dealers in an attempt to limit naked short-sales.[2] The Escala shareholders asserted ten causes of action, all under New Jersey statutes and common law and none expressly asserting federal law causes of action. [read post]
8 Jun 2022, 3:36 am
Despite this, no deal has been brokered between the two nations on the matter. [read post]
19 Jan 2009, 2:24 pm
Madoff's biggest Florida "feeders" -- or people who brought him investors -- was Richard Spring, of Boca-Raton, Fla. [read post]
18 Apr 2012, 11:55 am
This will help servicers who may need more time to obtain a broker price opinion or a private mortgage insurer’s approval on a BRP or property offer. [read post]
2 Nov 2023, 9:05 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Richard J. [read post]
26 Feb 2021, 6:00 am
Walker (Boston University), on Friday, February 19, 2021 Tags: Clawbacks, Dodd-Frank Act, Executive Compensation, Misreporting, Section 162(m), Securities enforcement, Securities regulation, Tax Cuts and Jobs Act, Taxation ESG and the Biden Presidency Posted by Suzanne Smetana, State Street Global Advisors, on Friday, February 19, 2021 Tags: Asset management, Climate change, Corporate… [read post]
5 Aug 2008, 3:36 pm
Richard Gugliada, a former S&P official who replied to Ms. [read post]
26 Apr 2023, 2:43 am
Andrew Higgins reports for the New York Times. [read post]
