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11 Sep 2015, 6:16 am
She said the system gave her “the resources without having to figure out how to ask for money from donors when I really didn’t live in that world. [read post]
21 Nov 2017, 11:23 am
Neo@Ogilvy LLC, WPP Group USA, Inc., saw Clause (iii) as ambiguous, invoked Chevron, and chose to defer to Rule 21F-2. [read post]
4 Jun 2015, 11:30 am
James is currently the President and Chief Operating Officer of The Blackstone Group. [read post]
4 Jun 2015, 11:30 am
James is currently the President and Chief Operating Officer of The Blackstone Group. [read post]
14 Dec 2008, 2:55 pm
• Citadel Investment Group froze redemptions in its two largest hedge funds until at least March 31, 2009. [read post]
27 Jul 2023, 5:06 am
Furthermore, provide them with resources and support groups that could help them cope better in their recovery process. [read post]
25 Apr 2013, 7:44 am
According to his guilty plea, Christian appraised a number of properties on behalf of purchasers who were seeking financing through Worthington Mortgage Group, LLC, a mortgage brokerage company controlled by Joshua Goldberg, operating out of an office on Gough Street, Baltimore, Maryland. [read post]
6 Apr 2012, 2:45 pm
Aimed at being an employment law blog for the financial services industry, the blog is authored by six attorneys in the firm’s Financial Services Group. [read post]
2 Feb 2007, 5:04 am
Fife and Clarion Management, LLC, The Complaint (PDF) Lincoln Financial Group [read post]
1 Sep 2011, 4:15 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in May, June, July and August 2011: Midas Securities, LLC, in Anaheim, CA, was fined $80,000 in connection with a finding by FINRA that they failed to reasonably supervise registered representatives in the sale of unregistered securities. [read post]
14 Apr 2021, 2:22 pm
Mail: Policy Division, Financial Crimes Enforcement Network, P.O. [read post]
14 Apr 2021, 2:22 pm
Mail: Policy Division, Financial Crimes Enforcement Network, P.O. [read post]
2 Mar 2011, 5:21 am
Compiled from online public domain resources, provided for your review/use is this week's update of key industry news, views, and events highlighting key electronic discovery related stories, developments, and announcements. [read post]
8 Dec 2010, 4:57 am
http://tinyurl.com/2dk7qx7 (Barry Willms) Compositions of Reports, Resources, Reviews, and Surveys EDRM Participation - 2005-2011 - http://edrm.net/participants (EDRM.Net) Got Ethics? [read post]
Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
Madoff Investment Securities LLC (BLMI), was sentenced on December 20, 2012 to 10 years in prison after he pled guilty among other things, to conspiracy to commit securities fraud, tax fraud, mail fraud, ERISA fraud and falsifying records of an investment adviser. [read post]
15 Apr 2008, 7:12 am
In the first financial quarter of 2008, a steady trend in M&A activity is patent. [read post]
12 Jul 2011, 6:00 pm
homeNewMember=&gid=1922050/ SUBSCRIBE: Workers Comp Resource Center Newsletter Do not use this information without independent verification. [read post]
16 Sep 2016, 9:44 am
According to FINRA BrokerCheck, Cannata was registered with Craig Scott Capital, LLC in Uniondale, NY from 02/2012 – 09/2014. [read post]
1 Jun 2009, 9:10 pm
Last month, the Financial Industry Regulatory Authority announced final settlements reached with NatCity Investments Inc. of Cleveland (a $300,000 fine), M & T Securities Inc. of Buffalo (a $200,000 fine), M & I Financial Advisors Inc. of Milwaukee (a $150,000 fine), and Janney Montgomery Scott LLC of Philadelphia (a $200,00 fine). [read post]
31 Oct 2011, 12:36 pm
Jon Corzine, who was the former co-chair of Goldman Sachs Group Inc. [read post]
