Search for: "Working Group on Securities Disclosure Authority"
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16 Jun 2022, 9:05 pm
The Working Group on Securities Disclosure Authority respectfully submits these comments on the Commission’s recent proposal related to mandated, standardized climate-related disclosures for investors. [read post]
23 May 2019, 6:39 am
She previously worked with Retirement Investment Group (CRD#: 7421), also in Houston. [read post]
16 Oct 2018, 7:55 am
As a result, market participants historically have worked together to develop voluntary disclosure guidelines and best practices. [read post]
24 Jun 2019, 12:49 pm
After failing to cooperate in a probe into allegations of securities violations, George Merhoff, a former ex-Cetera Financial Group adviser, has been barred by the Financial Industry Regulatory Authority (FINRA). [read post]
17 Dec 2019, 5:00 am
This is the first time the federal government has ever issued a security certificate, a legal mechanism that allows the attorney general to block the disclosure of information if disclosure would harm Canada’s national security interests. [read post]
17 Aug 2023, 1:02 pm
Attorneys in Foley Hoag’s Energy and Climate practice group has guided our clients through such transactions and will be working with our public markets attorneys as the regulatory picture becomes clearer. [read post]
27 Mar 2023, 8:09 pm
The White Law Group is investigating potential securities claims involving Newbridge Securities Corp. [read post]
27 Jan 2020, 1:59 pm
(CRD#: 630), Kemper Securities Group, Inc. [read post]
12 Mar 2023, 2:05 pm
Chamber of Commerce, a business lobbying group, said the group “will advocate against provisions of this proposal that [force disclosure of immaterial risks] or are unnecessarily broad,”. [read post]
29 Aug 2023, 12:32 pm
The White Law Group reviews the regulatory history of Hilltop Securities. [read post]
27 Aug 2023, 7:49 pm
The White Law Group reviews the regulatory history of Western International Securities. [read post]
10 Jun 2020, 8:16 am
Broker Dee Dee Brooks, Signator Investors in Huntington Beach, CA Signator Investors Advisor Reportedly Barred after Allegations of FIP & Woodbridge Recommendations According to disclosures on the Financial Industry Regulatory Authority (FINRA) website on June 9, the regulator has reportedly barred financial advisor Dee Dee Brooks from working in the securities industry. [read post]
7 Oct 2021, 6:13 am
Our team of lawyers works closely with our San Francisco based co-counsel to pursue claims of securities and investment fraud. [read post]
27 Dec 2023, 6:09 pm
July 2018 – The Financial Industry Regulatory Authority (FINRA) reportedly barred former Independent Financial Group advisor Kyusun “Kenny” Kim from working in the securities industry after he allegedly made unsuitable recommendations to numerous senior customers that they concentrate their retirement assets and liquid net worth in speculative and illiquid securities. [read post]
20 Apr 2012, 8:35 pm
European Securities and Markets Authority (ESMA) representatives gave a presentation about their November 2011 consultation paper considerations of materiality in financial reporting (which was available for public comment until 29 February 2012). [read post]
11 Apr 2023, 11:53 am
The White Law Group is investigating potential securities claims involving LaSalle St. [read post]
28 Dec 2020, 10:48 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
3 Apr 2010, 8:11 am
Following that consultation the FSA stated in October 2009 that it would maintain its current requirements and work with CESR to find an agreed European-wide disclosure regime for short selling. [read post]
31 Jan 2022, 6:41 am
Appelbaum previously worked for Herbert J. [read post]
3 Jan 2020, 1:37 pm
The customer alleged that Barrios traded stocks without his authorization or disclosure. [read post]
