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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]
30 Apr 2020, 2:23 pm
Allstate Interiors Inc. et al., and was filed in federal court in the District of New Jersey. [read post]
8 Jan 2013, 9:36 am
“That’s an important one that was responsive to concerns raised by a whole lot of industries including the financial advice industry and small business professional of any sort. [read post]
3 May 2021, 2:45 pm
., Inc. broker Paul Spero from the securities industry for 15 business days for exercising discretion without written authorization in approximately 70 customer accounts. [read post]
5 Jan 2016, 7:02 am
Polaris Industries, Inc., Dec. 23, 2015, U.S. [read post]
5 Jan 2016, 7:02 am
Polaris Industries, Inc., Dec. 23, 2015, U.S. [read post]
25 Mar 2008, 8:33 am
Illinois Industrial Tool, Inc. et al v. [read post]
17 Aug 2021, 1:18 pm
Volta Industries Inc., a San Francisco-based electric vehicle charging company, continued its installations at Giant Food stores with a new charging station in Upper Marlboro at 5700 Crain Hwy. [read post]
3 Oct 2014, 2:56 am
OSHA issued these employee safeguards in February: New workers must be adequately trained and monitored before their first assignment. [read post]
12 May 2010, 6:47 am
Brief for the U.S. in Cable News Network, Inc. v. [read post]
16 Oct 2014, 9:59 am
In addition, it’s likely a good deal for View Systems, Inc. and its current shareholders, giving them some reprieve and perhaps some upside options in the new combined entity. [read post]
11 May 2016, 11:31 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for allegedly inadequately supervising firm-wide internal “flash” emails sent by its research analysts to convey information about companies and industries the firm covered. [read post]
28 May 2008, 1:25 pm
The organization, Stanford Group Co., cited moves by the state legislatures in New York and Connecticut to ensure consumers' privacy online; the Federal Trade Commission's call for industry self-regulation; and complaints by lawmakers as signs that the advertising model may face some controls.Read the article: Reuters [read post]
11 Sep 2018, 9:16 am
Accredited Standards Committee X9 Inc., a nonprofit organization in Annapolis that develops standards for the financial services industry, published a new standard for mobile commerce implementations. [read post]
31 Jan 2013, 12:13 pm
We are also seeing growth in new customers in the industrial and commercial sectors purchasing or owning wind energy directly." [read post]
20 Sep 2011, 2:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced it has fined Pointe Capital, Inc. [read post]
4 Sep 2021, 6:31 am
FINRA has suspended Deutsche Bank Securities Inc. broker Garrett Neubart from the securities industry for two months. [read post]
24 Jan 2019, 12:45 pm
The post Hennion & Walsh, Inc. [read post]
6 Jun 2020, 4:59 pm
If the second packer is not willing to pay the new, higher price, the producer must return to the original packer who has the right-of-first refusal. [read post]
2 May 2019, 6:51 am
E-Connect Software, Inc. is a data engineering and AI consulting firm that focuses on strategy, technology, and business transformation to assist companies to undertake ambitious data and advanced analytics projects to build new capabilities. [read post]
