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30 Nov 2023, 9:55 am
See also: Kovack Securities Inc. [read post]
30 Nov 2023, 9:00 am
Anyone can be a whistleblower and “outside” whistleblowers, not employed by the defendant or even associated with the company, are becoming more common. [read post]
29 Nov 2023, 2:23 pm
(CRD#:5685), Alpena, MI, B, 03/25/2017 – 02/09/2018, MML INVESTORS SERVICES, LLC (CRD#:10409), ALPENA, MI B, 10/08/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. [read post]
29 Nov 2023, 8:59 am
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
28 Nov 2023, 8:10 pm
Melissa will tell us all about it. [read post]
28 Nov 2023, 10:19 am
For a free consultation with a securities attorney, please call (888) 637-5510.The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
28 Nov 2023, 7:42 am
Contact us today at (800) 975-4345 and let us know how we can help. [read post]
28 Nov 2023, 7:25 am
Contact us today at (800) 975-4345 and let us know how we can help. [read post]
27 Nov 2023, 3:16 pm
Solutions Law Press, Inc. invites you to receive future updates by registering on our Solutions Law Press, Inc. [read post]
27 Nov 2023, 7:44 am
Jose Candelario (Jose Manuel Candelario Padilla CRD# 4847560) is a previously registered broker and investment advisor last registered with Nationwide Planning Associates Inc. [read post]
26 Nov 2023, 6:52 am
In 2023, the US market share stands a [read post]
21 Nov 2023, 3:15 pm
Furthermore, since the Employee Benefit Security Administration now views HIPAA compliance and other prudent steps to protect PHI and other sensitive health information as part of fiduciaries and plan administrator’s ERISA compliance obligations, the management of these and other HIPAA obligations also is critical to ERISA compliance. [read post]
20 Nov 2023, 6:49 pm
Westlaw is not far behind after Thomson Reuters’s (Westlaw’s parent company) recent $650 million acquisition of legal technology company Casetext, Inc. [read post]
20 Nov 2023, 2:36 am
The ICO is seeking permission to appeal the ruling on Clearview AI Inc handed down by the First Tier Tribunal (Information Rights) on 17 October 2023. [read post]
19 Nov 2023, 4:58 pm
Meet Melat Kiros, a 2022 graduate of Notre Dame Law and, until recently, a securities regulatory and enforcement associate in the New York office of Sidley Austin. [read post]
16 Nov 2023, 10:19 am
Kris Ahrend: Royalties are never used to fund our operations. [read post]
15 Nov 2023, 8:55 am
FINRA BrokerCheck Report – John Fagan According to this FINRA BrokerCheck report, John Fagan was affiliated with the following firms during his career, among others: B, 11/11/2011 – 12/31/2021, RAYMOND JAMES & ASSOCIATES, INC. [read post]
15 Nov 2023, 6:26 am
Regulators routinely use these records to police prohibited short selling activity. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
14 Nov 2023, 9:01 pm
Regulators routinely use these records to police prohibited short selling activity. [read post]
