Search for: "SECURITIES CORP."
Results 2381 - 2400
of 11,589
Sort by Relevance
|
Sort by Date
28 May 2020, 6:25 am
” This was the guiding principle in a recent GAO case: DGCI Corp., B-418494 (Comp. [read post]
28 May 2020, 6:13 am
TransUnion Corp., No. 14 C 1850, 2015 WL 507584, at *4 (N.D. [read post]
27 May 2020, 9:00 am
(“Turbo”) and Applied BioSciences Corp. [read post]
26 May 2020, 12:57 pm
However, Agnihotri has worked for 12 firms over the past 19 years in the securities industry, most of which have been expelled by FINRA or their registration terminated by the SEC: Spartan Capital Securities, LLC (CRD#: 146251) Aegis Capital Corp. [read post]
26 May 2020, 11:17 am
On May 14, 2020, TP Flexible Income Fund, formerly known as Triton Pacific Investment Corp., reported that it reduced its public offering price per share 22% from $11.38 per share to $8.78 per share. [read post]
26 May 2020, 7:43 am
— Courthouse News Service COVID-19 lawsuit takes on McDonald’s like it was a rowdy bar — Workers and their families at McDonald’s Corp’s Chicago restaurants have filed a class-action lawsuit against the fast-food chain that does not seek money for sick staff, but compliance with health guidance such as providing clean face masks. [read post]
26 May 2020, 5:43 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Buffington (Buffington), formerly associated with Aegis Capital Corp. [read post]
22 May 2020, 10:21 am
According to a press announcement on May 12, the Securities and Exchange Commission filed fraud charges against Florida-based investment adviser TCA Fund Management Group Corp. and its affiliate, TCA Global Credit Fund GP, Ltd., for an alleged fraudulent scheme. [read post]
21 May 2020, 7:12 am
Karney, Amogh McGuire, Jesse JP Morgan Securities LLC Chase Investment Services Corp. [read post]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, 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 Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National Securities… [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, 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 Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera Advisor Networks LLC … [read post]
20 May 2020, 2:25 pm
Fagenson, David Newbridge Securities Corp UBS Financial Services Inc. [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services, LLC Botner, Ryan MML Investors… [read post]
20 May 2020, 1:57 pm
If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. [read post]
19 May 2020, 9:30 am
(Corp. [read post]
18 May 2020, 5:57 pm
Jeff Merkley and Tina Smith, introduced a bill for the Coronavirus Containment Corps Act. [read post]
18 May 2020, 3:00 pm
Applied BioSciences Corp. [read post]
18 May 2020, 5:57 am
According to a recent Rand Corp. study, U.S. security-sector assistance, when conducted in conjunction with U.N. peacekeeping, decreases the likelihood of political violence in a given African country. [read post]
17 May 2020, 4:48 pm
A family law trial is presumably less of a tea party than securities litigation. [read post]
17 May 2020, 9:46 am
Bullock (1989), which strike down such exemptions, with Corp. of Presiding Bishop v. [read post]
