Search for: "Compli, Inc."
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13 Dec 2017, 8:04 am
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. [read post]
5 Oct 2012, 7:30 am
Gold’s Gym International Inc., and was filed in federal court in Texas. [read post]
26 Jan 2007, 9:31 am
Contract Transport, Inc., No. 04-305-KS, 2007 U.S. [read post]
11 Oct 2016, 1:09 pm
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules and they can held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent. [read post]
10 Aug 2012, 2:51 pm
The SEC alleged that the company artificially inflated reported revenues by approximately $20 million in connection with a software sale to America Online, Inc. [read post]
14 Sep 2018, 5:22 am
This sort of zoning provision was addressed in a recent New York case involving Pet Lodges, Inc., which wanted to build a pet boarding facility on several contiguous lots that it owned in the City of Saratoga Springs. [read post]
21 Aug 2014, 2:15 pm
GSA Schedule contracts require that vendors certify that their products comply with the Trade Agreements Act. [read post]
28 Jan 2008, 12:52 pm
First Source Texas, Inc., No. 10-06-00236-CV, 2008 WL 90444 (Tex. [read post]
12 Oct 2021, 11:59 am
And the very possibility that the injunction is still in effect usually pressures defendants into complying. [read post]
6 Jul 2022, 7:10 am
Twitter, Inc. [read post]
23 May 2019, 2:00 pm
His other former employers include Morgan Stanley (CRD#: 149777), UBS Financial Services Inc. [read post]
20 Nov 2020, 10:59 am
Wedbush Securities, Inc., Cal. [read post]
13 Apr 2018, 12:18 pm
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. [read post]
2 Jul 2010, 8:51 am
., Inc. v. [read post]
28 Aug 2019, 8:50 am
Wayfair, Inc. in 2018. [read post]
22 Sep 2021, 1:12 pm
Black Horse Carriers, Inc., 2021 IL App (1st) 200563 (1st Dist. [read post]
1 Mar 2011, 9:50 am
Goldstar Transport, Inc., decided last week. [read post]
24 Feb 2014, 10:38 pm
Omnicare, Inc., a qui tam case brought in Maryland by a former employee of the long-term care pharmacy company, Omnicare. [read post]
4 Feb 2016, 9:34 am
American Learning Systems of Boca Delray, Inc., 857 So. 2d 986 (Fla. 4th DCA 2003). [read post]
27 Sep 2011, 6:35 am
Orthotek, Inc. [read post]
