Search for: "Unknown Supervisory and Officers"
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24 Sep 2017, 7:33 am
At this time it is unknown the extent of Wyman’s private securities transactions. [read post]
17 Sep 2017, 7:10 am
At this time the extent and scope of the fraud is unknown. [read post]
18 Aug 2017, 6:44 am
Wells Fargo Securities Censured & Fined for Supervisory Issues According to FINRA, on June 21, 2017, Wells Fargo Securities, LLC (CRD #126292, Charlotte, North Carolina) was issued an AWC in which the firm was censured, fined $3,250,000, and required to review its supervisory systems and processes. [read post]
12 Jul 2017, 3:50 am
In the following blog post, John Reed Stark, President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement, takes a comprehensive look that problems involved with making payments in response to a ransomware attack. [read post]
21 Apr 2017, 5:37 pm
Supervisory Special Agent Kelly Decker says outreach, liaising, and awareness are the best defenses against agroterrorism. [read post]
20 Mar 2017, 8:58 am
The editor, the Supreme Court held, had a supervisory obligation to conduct his editorial duties in such a way that the published material would not harm anyone by being defamatory. [read post]
2 Sep 2016, 4:00 am
The office of Scottish Legal Services Ombudsman was abolished. [read post]
16 May 2016, 6:00 am
There are two important unknowns here. [read post]
7 Mar 2016, 8:18 am
The rate in the UK is 3% of Box Office, although the PRS are now running a consultation with the presumed hope they can raise this. [read post]
24 Nov 2015, 4:10 am
As previously reported, after being released from custody on contempt charges, Davis allowed others in her office to issue licenses, but only with revised wording. [read post]
21 Nov 2015, 5:05 am
But if so, they have not explained why the federal court has such authority to enforce state officers' compliance with state law. [read post]
15 Nov 2015, 9:30 pm
Second, Congress should create a new prudential supervisory agency which would consolidate the supervisory responsibilities of the Federal Deposit Insurance Corporation, the Federal Reserve, the Office of the Comptroller of the Currency, as well as those of the U.S. [read post]
30 Sep 2015, 3:00 pm
" Such forfeitures are predicated on individuals committing illegal conduct, especially prosecutable crimes.An email sent by the CBP Supervisory Officer assigned to Newark Liberty International Airport and dated April 22, 2011 explained that officials actually seized two shipments in March 2011. [read post]
8 Apr 2015, 7:07 pm
My administration is going to reform the L-1B visa category, which allows corporations to temporarily move workers from a foreign office to a U.S. office in a faster, simpler way. [read post]
8 Jan 2015, 6:00 am
Each Thursday we present a significant excerpt, usually from a recently published book or journal article. [read post]
22 Oct 2014, 5:33 am
Thus, FINRA found that the actual number of penny stock transactions and Feltl’s total penny stock related revenue were unknown. [read post]
22 Jul 2014, 10:23 am
FINRA found that despite knowing that a member of the firm’s staff had forged a significant but unknown number of Deposit Securities Request forms and caused numerous unregistered penny stocks to be deposited into firm customer accounts absent supervisory review, DuBrule failed to conduct any investigation to determine the scope of the forgeries and unsupervised penny stock trading. [read post]
17 Jun 2014, 11:19 pm
” Peter Sivere, a former compliance officer at JP Morgan Chase, who was quoted as saying “I wish I had known that the house always wins. [read post]
19 Feb 2014, 6:48 pm
The Durham response elected not to engage with any of these questions.Non-Credibility in Describing Nifong’s RoleIn its filing, Durham formally denied “that there was any agreement on the part of the City, the Durham Police Department, the Supervisory Defendants, or individual police officers that Nifong would direct or help direct the police investigation. [read post]
7 Jun 2013, 3:02 pm
However, it is unknown if Mr. [read post]
