Search for: "In Re Disciplinary Proceeding Against Stock"
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18 Dec 2023, 2:48 pm
In addition, the SEC considers numerous factors, such as the results of past examinations, disciplinary history of adviser affiliates, potential conflicts of interest in business activities, vulnerability to financial or market stresses, media reports and complains, access to client assets, as well as an adviser’s specific products, services, or practices. [read post]
30 Aug 2023, 5:44 am
However, with a seasoned attorney at your side during such proceedings, you’re better equipped to handle the situation effectively. [read post]
20 Jan 2022, 12:16 pm
Recently, in In re: Facebook Inc. [read post]
5 Jan 2022, 1:00 am
If there was a regulatory action against the broker, it will list the allegations against them, resolution, sanctions, and a link to the disciplinary action details. [read post]
22 Dec 2020, 9:43 am
The event was so popular we’re bringing it back for 2021 as a webinar and we hope to see you there! [read post]
The Coronavirus in the International Workplace – How do Multinational Employers React Appropriately?
18 Mar 2020, 12:55 pm
The Foreign & Commonwealth Office (FCO) now advises British people against all non-essential international travel, initially for a period of 30 days beginning 17 March 2020. [read post]
10 Jan 2020, 6:52 pm
These remarks, however, may be more usefully understood for their contribution to the development of the fundamental political theory of the Chinese political model,It is with that in mind, and with the benefit of the passage of a year that has stripped away the dross of the political situation around which the speech was delivered, a re-reading of the remarks more clearly exposes the substance of the evolution of Chinese Marxist Leninist theory in the new era. [read post]
29 Oct 2019, 1:03 am
With my limited economic understanding, I just wonder one thing: If EPO management seriously believes in any of the more gloomy-gap predictions and thinks it is appropriate to invest a large proportion of both its investment fund and its pension fund on the stock market, would it not be wise to shorten the stocks now, thus generating a buffer, and re-invest after the slump? [read post]
31 Mar 2018, 8:56 am
As the Petitioner did not clearly distance itself from the Office President’s position, there is a threat of disciplinary measures against the members of the Enlarged Board. [read post]
17 Jan 2018, 8:00 am
The King Law Reporter will be available on Fastcase.com for free through February 2018. [read post]
1 Sep 2017, 6:49 am
So they're willing to say that it was worth multimillion [read post]
15 Dec 2015, 10:47 am
This prevents later allegations of conflict of interests, potential disciplinary action against in-house counsel, and litigation as to assertion or breach of attorney client privilege. [read post]
23 Nov 2015, 1:44 pm
See In Re Orchard Enters., Inc., S’holder Litig., 88 A.3d 1, 42 (Del. [read post]
14 Apr 2015, 3:57 pm
I might error on the side of broader rather than narrower more legalistic standing given that the proceedings are voluntary and the there is no legal effect to the NCP proceedings. [read post]
10 Oct 2014, 11:39 am
(Pix (c) Larry Catá Backer 2014) Since 2010, I have been posting on the development of a new course I have been developing for our first year law school students, "Elements of Law. [read post]
1 Oct 2014, 5:06 am
The charges are the result of a disciplinary proceeding NYSLA held against Empire in August at which NYSLA issued a Notice of Pleading outlining sixteen violations of 9 NYCRR 53.1(n). [read post]
15 Sep 2013, 6:53 pm
Code database on FDsys is accurate, those using it for legal research should verify their results against the printed version of the U.S. [read post]
27 May 2012, 4:50 am
Was he required to stand in the public square in stocks? [read post]
15 May 2012, 8:46 pm
Twenty-one percent have taken disciplinary proceedings because of information an [read post]
24 Apr 2012, 5:55 pm
Could the leaders of ECUSA now lodge disciplinary charges under the new Title IV (that went into effect last July) against the seven bishops and three priests who have dared to defy them in open court, in an act no less brave than that of the Burghers of Calais? [read post]
