Search for: "IN THE MATTER OF REGISTRANT J.P"
Results 1 - 20
of 29
Sorted by Relevance
|
Sort by Date
11 Sep 2014, 4:27 am
On October 1, 2012, her registration was transferred to J.P. [read post]
5 Sep 2014, 9:12 am
In 2012, Warner's registration was transferred to J.P. [read post]
31 Mar 2021, 9:30 am
J.P. [read post]
10 Nov 2011, 12:51 pm
SUPREME COURT OF THE STATE OF NEW YORKAppellate Division, Fourth Judicial Department1236 KA 11-00285PRESENT: CENTRA, J.P., FAHEY, PERADOTTO, LINDLEY, AND MARTOCHE, JJ. [read post]
2 Oct 2011, 7:23 am
The article also cited a recent enforcement matter filed in federal court in New York on June 21, 2011 as "the biggest example in the SEC's change in tactics. [read post]
8 Aug 2014, 5:40 am
Review the pre-registration checklist, timeline and other information shared by CMS in the 90-minute presentation here. [read post]
3 Feb 2012, 9:22 am
The lawsuit asserts that employees and agents of Bank of America, J.P. [read post]
17 Dec 2021, 5:35 am
The SEC announced charges against J.P. [read post]
25 Feb 2012, 9:34 am
The lawsuit, filed in the state's supreme court in Brooklyn, names J.P. [read post]
10 May 2024, 9:00 am
Matter of Lake George Assn. v NYS Adirondack Park Agency2024 NY Slip Op 02356Decided on May 2, 2024Appellate Division, Third DepartmentFisher, J.Published by New York State Law Reporting Bureau pursuant to Judiciary Law § 431.This opinion is uncorrected and subject to revision before publication in the Official Reports.Decided and Entered:May 2, 2024CV-23-0672[*1]In the Matter of The Lake George Association et al., Respondents,vNYS Adirondack Park Agency et al.,… [read post]
10 May 2024, 9:00 am
Matter of Lake George Assn. v NYS Adirondack Park Agency2024 NY Slip Op 02356Decided on May 2, 2024Appellate Division, Third DepartmentFisher, J.Published by New York State Law Reporting Bureau pursuant to Judiciary Law § 431.This opinion is uncorrected and subject to revision before publication in the Official Reports.Decided and Entered:May 2, 2024CV-23-0672[*1]In the Matter of The Lake George Association et al., Respondents,vNYS Adirondack Park Agency et al.,… [read post]
10 Jul 2010, 12:00 am
IN RE J.P. [read post]
16 Oct 2020, 6:41 am
. **** SEC Matters SEC Expands the “Accredited Investor” and “Qualified Institutional Buyer” Definitions. [read post]
22 Dec 2021, 6:55 am
For example, on 17 December 2021, J.P. [read post]
18 Nov 2016, 11:04 am
In 2009 J.P. [read post]
11 Mar 2024, 7:14 am
FINRA Rules for Brokers According to FINRA Rule 8210(a)(1), individuals and entities under FINRA’s jurisdiction must provide information concerning any matter relevant to a FINRA investigation or examination. [read post]
26 Aug 2013, 12:37 am
For example, there are reports that the agency is seeking to require J.P Morgan to provide admissions of wrongdoing in connection with the agency’s actions against the firm in connection with the “London Whale” cases. [read post]
14 Nov 2011, 2:13 pm
The cases included an enforcement action against J.P. [read post]
20 Aug 2014, 2:11 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
12 Aug 2014, 4:59 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
