Search for: "Stanley Williams"
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17 May 2019, 8:42 am
Massachusetts Secretary of the Commonwealth William Galvin has filed charges against broker-dealer Janney Montgomery Scott accusing the firm of not properly supervising broker Stephen Querzoli during his trading of Class A mutual fund shares from 2012 to 2017. [read post]
1 May 2019, 12:00 pm
• Stanley W. [read post]
1 May 2019, 12:00 pm
• Stanley W. [read post]
25 Apr 2019, 11:59 am
Equity Sales Company UBS Painewebber Inc Sercia, Anthony Traderfield Securities Inc Legend Securities Soto, Rani Prudential Investment Management AllianceBernstein Investments Stanley, Cornell Jr. [read post]
19 Apr 2019, 5:36 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ferree, Stuart LPL Financial LLC Invest Financial Corporation Anderson, Andy LPL Financial LLC Invest Financial Andrzejewski, Bryan Dean… [read post]
11 Apr 2019, 12:40 pm
Understanding animals Jonathan Losos, the William H. [read post]
23 Mar 2019, 3:11 pm
Dean, Thomas Craig Earnest, and Stanley L. [read post]
19 Mar 2019, 3:17 am
Stanley Roszkowski, the first full-time district court judge in the Western Division of the Northern District of Illinois. [read post]
12 Mar 2019, 8:20 am
Different societies have different conceptions of flourishing: there need not be only one kind of well-being and Western societies do not have a monopoly let alone patent on same, thus there are pluralistic conceptions, which is sometimes conflated or confused with a doctrine of relativism.We can illustrate one kind of relativism that is troubling with a vulgar model on its cultural variation provided by the late social anthropologist Stanley Jeyaraja Tambiah with the following… [read post]
21 Feb 2019, 2:04 pm
Once again involving variable rate securities, in that lawsuit Morgan Stanley (MS), Citigroup, JPMorgan Chase, Bank of America, William Blair & Co., Barclays Capital, Fifth Third Bancorp, and BMO Capital Markets Corp. were accused of taking part in a ‘Robo-Resetting” scam that allowed them to mechanically establish rates as a group without considering each bond’s unique traits, investor demand, or the market conditions. [read post]
11 Feb 2019, 2:03 pm
Stanley works: claimed & accused designs were hammer tools w/things in the same places but didn’t look the same. [read post]
10 Feb 2019, 2:49 pm
[This is revised and updated from a blog post in 2013.] [read post]
7 Feb 2019, 7:07 am
His previous employers include Morgan Stanley (CRD #149777), RBC Capital Markets, LLC (CRD #31194) and Ferris, Baker Watts, LLC (CRD #285), also of Frederick, MD. [read post]
30 Jan 2019, 1:06 pm
., Zachary NYLife Securities LLC NY Life Insurance Co Simonds, Christopher Edward Jones Local Property LLC Tejeda, Divanna JP Morgan Securities LLC Chase Investment Services Valenzuela, Francisco Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Wadsworth, Jackie IMS Securities, Inc Retirement Investment Group Walker, Rick Morgan Stanley Citigroup Global… [read post]
25 Jan 2019, 9:48 am
Fulford defrauded a number of professional athletes, including ex-NBA basketball players Dennis Rodman and Travis Best, former Heisman trough winner Ricky Williams, as well as NFL football players Lex Hilliard and Ricky Williams, of millions of dollars. [read post]
24 Jan 2019, 4:15 pm
William O. [read post]
24 Jan 2019, 10:04 am
His defense attorney, William Kunstler, attempted to call an expert to testify on the unreliability of Burton’s confession, but to no avail; the court denied his request. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce, Fenner… [read post]
30 Dec 2018, 6:28 am
Justice William J. [read post]
25 Dec 2018, 3:00 am
Goddamn v. [read post]
