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19 Jul 2017, 2:44 am
Treasury securities has become increasingly more standardized and electronic over the past decade, Maloney observed that most dealers still trade with their customers over the telephone. [read post]
27 Nov 2012, 7:33 am
Following the recent Fourth Circuit opinion in WEC Carolina Energy Solutions LLC v. [read post]
1 May 2024, 10:16 pm
FINRA also reported LPL’s failure to establish and enforce a proper supervisory system for recommending publicly traded securities of business development companies from May 2017 to November 2022. [read post]
23 Jan 2019, 12:14 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
10 Dec 2019, 7:59 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
5 Jan 2021, 8:25 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
9 Sep 2021, 3:30 am
As this Baker & Hostetler memo notes: The Amendment adds additional investor protections by mandating that investors have access to the current and publicly available information of issuers whose securities trade on the OTC markets, and it further requires broker-dealers to confirm that certain information about the issuer and its security is current and publicly available before quoting that security. [read post]
7 Sep 2023, 10:25 am
Inc.NEXT Financial Group Inc.Western International Securities Inc.SCF Securities Inc.CUSO Financial Services L.P.Sorrento Pacific Financial LLC. [read post]
14 Apr 2017, 2:26 am
Court of Appeals in San Francisco which found FilmOn X, LLC, to be a “cable system” that was eligible for compulsory licenses under the Copyright Act. [read post]
5 Jun 2017, 3:54 am
Original Maryland Fried Chicken, LLC v. [read post]
10 May 2012, 5:56 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
19 Mar 2016, 12:42 pm
O’Brien & Associates LLC v. [read post]
10 Mar 2020, 5:57 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
6 Mar 2020, 9:52 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
11 Mar 2020, 11:54 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
7 Aug 2018, 1:19 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
30 Aug 2016, 1:11 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
21 Oct 2011, 2:03 pm
As noted previously, Simone eventually began working for Salomon Whitney LLC. [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
11 Apr 2007, 1:10 am
Devoe Properties LLC KINGS COUNTYLandlord/Tenant LawTenant Denied Restoration; Waived Right to Contest Period of Landlord's Registration Noncompliance A.G. [read post]
