Search for: "CHRISTOPHER STOCK"
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12 Jul 2019, 6:17 am
Arcano, Christopher M. [read post]
7 Jun 2019, 3:00 am
Tampa Bay Times – Christopher O’Donnell, Eli Murray, Connie Humburg, and Noah Pransky | Published: 5/31/2019 The FEC demanded explanations from about 50 politicians who are operating zombie campaigns – political committees that keep spending contributions long after the campaign has ended. [read post]
29 May 2019, 10:15 am
In 2015, the Commission charged Christopher J. [read post]
17 May 2019, 6:06 am
Greenberg and Christopher B. [read post]
SinoTech: U.S. Threatens Tariff Hike on Chinese Goods as Tech-Related Trade Issues Remain Unresolved
8 May 2019, 12:12 pm
The CBIRC announcement led to an uptick in Hong Kong stocks, with the Hang Seng Index rising 0.8 percent. [read post]
7 May 2019, 11:22 am
The SEC’s investigation was conducted by Christopher G. [read post]
6 May 2019, 8:28 am
Once employed, ADP’s sales staff could earn stock awards by meeting certain sales targets. [read post]
21 Apr 2019, 10:14 am
According to BrokerCheck records financial advisor Christopher Bennett (Bennett), formerly employed by J.J.B. [read post]
5 Apr 2019, 5:58 am
Securities and Exchange Commission, on Tuesday, April 2, 2019 Tags: Capital formation, Financial technology, International governance, Investor protection, SEC, SEC enforcement, Securities enforcement, Securities fraud, Securities regulation Driving Diversity and Inclusion—the Role for Chairs and CEOs Posted by David Mills, Rachel Middleton, and Harsonal Sachar, Russell Reynolds, on Wednesday, April 3, 2019 Tags: Board… [read post]
29 Mar 2019, 6:51 am
The event included a rundown of market terms such as co-sale rights, anti-dilution, capitalization table, preferred stock, no-shop, stock exit contingencies, valuation caps and board rights. [read post]
18 Mar 2019, 6:47 am
(Laidlaw) recommended the investor purchase a micro cap stock underwritten by the firm in violation of the securities laws. [read post]
15 Mar 2019, 5:55 am
Greenberg, Christopher B. [read post]
8 Mar 2019, 3:43 am
Co. of Pittsburgh, Pa. v Christopher Assoc., 257 AD2d 1, 12 [1st Dept 1999]). [read post]
1 Mar 2019, 6:04 am
Speaks Up: A Push for Board Diversity from the SEC and Congress Posted by Howard Dicker, Ade Heyliger and Aabha Sharma, Weil, Gotshal & Manges LLP, on Monday, February 25, 2019 Tags: Board composition, Boards of Directors, Disclosure, Diversity, SEC, SEC rulemaking, Securities regulation, US House, US Senate Common Ownership in America: 1980-2017 Posted by Matthew Backus (Columbia University), Christopher Conlon (New York… [read post]
26 Feb 2019, 11:47 am
Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to respond reasonably to red flags of unsuitable mutual fund switching and unsuitable stock trading intended to conceal the switching by one of its registered representatives. [read post]
20 Feb 2019, 1:24 pm
Although the coffin belonged "to the stock of Habib Tawadrus," did the dealer own the coffin or simply have custody of it? [read post]
1 Feb 2019, 10:51 am
Stock market futurism. [read post]
28 Jan 2019, 8:18 pm
Shapiro, Sonya Medina, Olivia Kirtley, Christopher Coleman, and Laurette Koellner.[5] Since January 1, 2018, Steve Ritchie has served as the Company's President and CEO.[6]B. [read post]
22 Jan 2019, 8:00 am
Two nearly identical customer disputes were filed on 10/13/2017 and 7/14/2017, alleging that Sinkula “made unsuitable investments in his account by creating a high concentration in energy stocks. [read post]
25 Dec 2018, 9:30 pm
Boyd, University of Georgia School of Public & International Affairs, and Christopher J. [read post]
