Search for: "Risk Placement Services, Inc."
Results 181 - 200
of 384
Sort by Relevance
|
Sort by Date
15 Dec 2017, 9:01 am
Our firm participated in a meeting with the SEC in November about custody issues for cryptocurrency managers and continues to engage with the SEC on this issue as well as work with the SEC and other service providers in this space to help lead the way to comply with SEC rules and regulations. **** Annual Compliance & Other Items: Annual Privacy Policy Notice. [read post]
15 Dec 2017, 9:01 am
Our firm participated in a meeting with the SEC in November about custody issues for cryptocurrency managers and continues to engage with the SEC on this issue as well as work with the SEC and other service providers in this space to help lead the way to comply with SEC rules and regulations. **** Annual Compliance & Other Items: Annual Privacy Policy Notice. [read post]
28 Nov 2017, 12:19 pm
Placement of telephone calls without meaningful disclosure of the caller’s identity. [read post]
21 Nov 2017, 10:45 am
The Court described the facts as follows: Mary Anna Whitehall was a social worker for San Bernardino County Children and Family Services (“CFS”). [read post]
12 Nov 2017, 9:24 am
According to BrokerCheck records financial advisor Michael Keane (Keane), formerly associated with UBS Financial Services Inc. [read post]
11 Oct 2017, 12:31 pm
If unresolved, this may increase the risk of injury and death to vehicle occupants. [read post]
25 Sep 2017, 6:44 am
Hospitality Trust acquires select-service lodging properties and brand national hotel. [read post]
18 Sep 2017, 7:25 am
But some of these no-action letters also have subsequent histories that could make them challenging to apply in practice.For example, in the 1985 Dominion Resources, Inc. no-action letter, the Division of Trading and Markets (then called the Division of Market Regulation) said it would not recommend enforcement to the Commission under Exchange Act Section 15 if Dominion Resources, which had developed expertise in placing taxable and tax-exempt securities, offered these services to… [read post]
22 Aug 2017, 6:11 am
White to recover money lost by retail investors in high-risk private placements, and non-traded REITs, he said. [read post]
20 Jul 2017, 6:40 am
Thus, while mere puffery is not actionable, false claims of a good’s or service’s unique properties that are not superior to similar goods and services may be deceptive and, thus, actionable under FDUTPA. [read post]
24 Jun 2017, 8:28 am
Parks was associated with Ameriprise Financial Services, Inc. [read post]
20 Jun 2017, 8:50 am
Investment Services, LLC. [read post]
19 Jun 2017, 2:24 pm
(Indian Child Welfare Act – Placement)Gila River Indian Community v. [read post]
16 Jun 2017, 3:47 pm
(Indian Child Welfare Act - Placement)Gila River Indian Community v. [read post]
9 Jun 2017, 7:53 am
The Problem with Reg D Private Placements The trouble with Reg D private placements, like Carter Validus Mission Critical REIT II, is that they involve a high degree of risk and are typically sold as unregistered securities. [read post]
29 May 2017, 9:25 am
From September 2003 until October 2012, Swarbrick was registered with Woodbury Financial Services, Inc. [read post]
21 Apr 2017, 1:39 pm
Uber Techs., Inc., 2017 U.S. [read post]
6 Apr 2017, 8:00 am
See, e.g., In re Google Inc., 2013 WL 5423918, at *14 (N.D. [read post]
27 Mar 2017, 9:33 am
The author of the first-place winning entry will receive a cash prize of $2,000 provided by the Air Force JAG School Foundation, Inc. [read post]
20 Mar 2017, 11:03 am
The author of the first-place winning entry will receive a cash prize of $2,000 provided by the Air Force JAG School Foundation, Inc. [read post]
