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15 Apr 2018, 6:10 am
In the Matter of Instinet, LLC, Respondent, (FINRAAWC 2013036836015, April 12, 2018)http://www.finra.org/sites/default/files/instinet_awc_041218.pdf The Financial Industry Regulatory Authority, BOX Options Exchange LLC; the CBOE BZX Exchange, Inc.; Investors Exchange LLC; the NASDAQ Stock Market LLC; and the New York Stock Exchange; and certain of their affiliated Exchanges censured and imposed a $1.575 million fine on Instinet, LLC for violatio... [read post]
29 Jan 2012, 11:00 pm
Swisa, Inc., (Fed. [read post]
5 Jun 2007, 7:07 am
FALLS CHURCH, VA -- (MARKET WIRE) -- 06/05/07 -- Aptara, Inc., a global leader in integrated content transformation solutions, today announced that it has opened a new office in New York City. [read post]
7 Dec 2016, 6:16 am
Our firm’s investment attorneys are investigating reports in a New York Times article and customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Walter Marino (Marino) currently associated with Benjamin Securities, Inc. [read post]
11 Dec 2007, 9:24 am
. - 12/11/2007 - LitSoft, Inc. [read post]
29 Jul 2009, 8:57 am
City of Boca Raton, 524 U.S. 775 (1998), and Burlington Industries, Inc. v. [read post]
2 May 2012, 6:51 am
New York City employment lawyers were closely following the case involving Cindy's Total Care Inc., a nail salon in Manhattan, and the U.S. [read post]
1 Dec 2023, 8:06 am
His previous employers include Ameriprise Financial Services, Inc. [read post]
2 Feb 2021, 8:41 am
Kulch was previously registered with NEXT Financial Group, Inc. in Nashua, New Hampshire from 2006 until he left the brokerage industry in 2020. [read post]
11 Mar 2019, 4:25 pm
Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned broker-dealer ProEquities Inc. for alleged mutual fund overcharges. [read post]
8 Nov 2021, 8:05 am
For these reasons, the New York statute, if passed in its current form, will substantially improve a plaintiff’s chance of success in platform or network industry cases. [read post]
9 Apr 2018, 8:27 am
Brunner According to The Financial Industry Regulatory Authority (FINRA), the regulator has barred former New York advisor William G. [read post]
22 Sep 2019, 11:29 am
(American Portfolios) and Kestra Investment Services, LLC (Kestra Investment) out of New York, was barred from the financial industry according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
20 Sep 2006, 12:20 pm
The Monteray Herald reports: New York-based MetaMachine Inc. was one of seven technology firms to receive letters from the recording industry last fall warning them to shut down or prepare to face lawsuits. [read post]
11 Jan 2023, 11:01 am
Both are limited partnerships that had New York-based GPB Capital as the general partner and were sold pursuant to Regulation D of the Securities Act of 1933. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
9 Nov 2023, 10:51 am
., the former co-CEOs of Fresno, California-based private technology services startup Bitwise Industries Inc., for misleading investors about the…Read the Full Press Release Have a securities law question? [read post]
16 Aug 2023, 9:04 am
Securities America Inc. [read post]
6 Dec 2011, 3:04 pm
International Security Inc. [read post]
