Search for: "In the Matter of J.P."
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20 Nov 2020, 8:34 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
16 Dec 2015, 7:44 am
Lax & Neville LLP has nationally represented small broker-dealers, financial services professionals and securities industry companies in regulatory matters and securities-related and commercial litigation. [read post]
29 Jul 2015, 7:28 am
From 2005 through May 2009, Pace was associated with J.P. [read post]
6 Nov 2019, 4:01 am
Mastro, J.P., Roman, Hinds-Radix and Maltese, JJ., concur. [read post]
15 Jul 2009, 7:11 am
After the case got shifted twice to different judges, the matter landed in the lap of Reagan appointee J.P. [read post]
4 Jun 2007, 1:14 am
Vault Leasing NASSAU COUNTYTrusts and EstatesMother Denied Leave to Withdraw Funds on Deposit For Sole Benefit of Daughter for Purchase of Home Matter of Charles v. [read post]
19 May 2011, 5:39 pm
Goldman is also being investigated by the Justice Department over matters “similar” to a European Commission probe into anti-competitive practices involving credit default swap transactions. [read post]
2 Oct 2011, 7:23 am
The article also cited a recent enforcement matter filed in federal court in New York on June 21, 2011 as "the biggest example in the SEC's change in tactics. [read post]
1 Feb 2023, 4:31 am
Concur—Gische, J.P., Kern, Gesmer, Rodriguez, Pitt, JJ. [read post]
1 Dec 2008, 10:06 pm
That is often a warrant issued by a J.P. [read post]
5 May 2015, 7:03 am
Decker entered the securities industry in 2006 with brokerage firm J.P. [read post]
5 Feb 2015, 5:59 am
After leaving Westrock Advisors, Inc. in May 2007, Burns became registered with J.P Turner & Company, L.L.C. [read post]
3 Nov 2015, 6:23 am
From February 2010, until August 2011, Pizzimenti was a registered representative of J.P. [read post]
6 Nov 2008, 6:01 am
That's because when J.P. [read post]
4 Oct 2011, 8:34 am
Over the summer, the Fed released the final rule on the matter. [read post]
7 Nov 2024, 9:01 pm
The SEC has now issued dozens of settled orders in these matters since December 2021. [read post]
14 Feb 2024, 6:00 am
Decided and Entered: February 08, 2024 Before: Manzanet-Daniels, J.P., Kern, Friedman, O'Neill Levy, Michael, JJ. [read post]
17 Jun 2022, 9:09 pm
Decided and Entered: June 14, 2022 Before: Webber, J.P., Gesmer, Oing, Singh, Kennedy, JJ. [read post]
14 Feb 2024, 6:00 am
Decided and Entered: February 08, 2024 Before: Manzanet-Daniels, J.P., Kern, Friedman, O'Neill Levy, Michael, JJ. [read post]
17 Jun 2022, 9:09 pm
Decided and Entered: June 14, 2022 Before: Webber, J.P., Gesmer, Oing, Singh, Kennedy, JJ. [read post]
