Search for: "Cooper Industries LLC"
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4 Jan 2021, 12:05 pm
Morgan Securities LLC Jon Foster Wells Fargo Clearing Services, LLC Mark Grenier David Lerner Associates, Inc. [read post]
4 Jan 2021, 9:21 am
Morgan Securities LLC Wells Fargo Advisors, LLC Thomas Marino R.M. [read post]
4 Jan 2021, 7:30 am
Dean Grosskreutz Allstate Financial Services, LLC Morgan Keegan & Company, Inc. [read post]
28 Dec 2020, 1:55 pm
He has been in the industry since 1999. [read post]
17 Dec 2020, 8:03 am
The regulator did not fine RBC, instead, crediting the firm for its “extraordinary cooperation. [read post]
11 Nov 2020, 4:14 pm
The 2019 DOJ New Policy for Incentivizing Antitrust Compliance In the past, if a company did not win the race for leniency, the DOJ’s approach was to insist that it plead guilty to a criminal charge with the opportunity to be an early-in cooperator, and potentially receive a substantial penalty reduction for timely, significant, and useful cooperation. [read post]
3 Nov 2020, 9:03 pm
In Sec 202, the second objective of the act is for “Cooperation among Federal and State agencies, producers, industry organizations, and others in the development and effectuation of research and marketing programs to improve distribution processes. [read post]
8 Oct 2020, 1:09 pm
Privacy The second issue presented by IoT devices is privacy—a concept that bears on a consumer’s relationship with industry and on industry’s relationship with Government. [read post]
8 Oct 2020, 8:56 am
The developments might have significant consequences on the cryptocurrency industry globally. [read post]
24 Sep 2020, 1:33 pm
Rate plan optimization is well-understood in the telecommunications expense management industry, and the wireless carriers regularly engage in the process for their Fortune 500 customers. [read post]
11 Sep 2020, 9:45 am
The post FINRA Report: Brokers Often Refuse to Cooperate During Investment Fraud Investigations appeared first on Zamansky LLC. [read post]
11 Sep 2020, 3:00 am
National/Federal $2,933 for ‘Girl’s Night’: Medicaid chief’s consulting expenses revealed Politico – Dan Diamond and Adam Cancryn | Published: 9/10/2020 A House investigation showed how Seema Verma, the Trump administration’s top Medicaid official, spent more than $3.5 million on a range of GOP-connected consultants, who polished her public profile, wrote her speeches and Twitter posts, brokered meetings with high-profile individuals, and even billed… [read post]
9 Sep 2020, 7:24 am
Murphy was most recently registered with Monmouth Capital Management LLC from 2018-2019. [read post]
1 Sep 2020, 9:39 am
The post Broker Narinder Singh Barred from Securities Industry appeared first on The White Law Group. [read post]
12 Aug 2020, 11:10 am
Lyons, Louisville, KY FINRA Bars Christopher Duke Bennett for Failure to Cooperate with its Investigation According to Financial Advisor IQ, citing a document from the Financial Industry Regulatory Authority on August 6, 2020, the regulator has barred former J.J.B. [read post]
12 Aug 2020, 10:51 am
Bryant Caveness, Ameriprise Financial Services, Kingsport, TN FINRA Bars Bryant Caveness for Failure to Cooperate with its Investigation According to Financial Advisor IQ on July 27, citing a document from the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bryant Caveness for failure to provide information in its investigation into his “potential receipt of checks from senior customers. [read post]
10 Aug 2020, 9:38 am
“Buy American” – Maximizing Domestic Production in Federal Procurements Perhaps most impactful to the pharmaceutical and medical device industries, the Order imposes a new “Buy American” requirement. [read post]
22 Jun 2020, 4:49 pm
Agricultural Cooperatives. [read post]
21 Jun 2020, 9:03 am
Kennedy entered the securities industry in 1986. [read post]
4 Jun 2020, 10:31 am
FINRA noted it recognized the firm was cooperating in resolving the matter including its hiring an outside consultant to find harmed customers and promptly paying restitution. [read post]
