Search for: "SEC v. National Securities, Inc."
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23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New Hampshire in… [read post]
19 May 2016, 2:33 pm
[vii] CSC entered into a contract with the United Kingdom’s National Health Service (“NHS”) to build an electronic patient-record system. [read post]
13 Apr 2016, 4:55 pm
John is the President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement. [read post]
8 Apr 2016, 6:44 am
Fraud claims were also not dismissed (Beltran v. [read post]
14 Mar 2016, 2:56 am
In Hantz Financial Services, Inc. v. [read post]
2 Mar 2016, 4:26 pm
For years, cryptologists and national security experts have been warning against weakening encryption. [read post]
14 Feb 2016, 4:53 pm
Inclusive Communities, Inc. [read post]
4 Feb 2016, 7:58 am
“Small businesses play a crucial role in our nation’s economy,” said SEC Chair Mary Jo White. [read post]
31 Jan 2016, 9:30 pm
Sec. [read post]
20 Jan 2016, 5:21 am
Morgan Securities LLC Administrative Proceeding File No.: 3-17008 Date Filed: December 18, 2015 Date of Qualifying Judgment/Order: December 18, 2015 12/23/2015 3/22/2016 2015-146 SEC v. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
11 Jan 2016, 3:10 pm
American Furukawa, Inc. v. [read post]
13 Dec 2015, 5:42 pm
SEC. 203. [read post]
25 Nov 2015, 2:04 pm
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
5 Nov 2015, 5:13 pm
See also Comerica Inc. v. [read post]
4 Nov 2015, 3:30 am
But, hold up a sec. [read post]
24 Aug 2015, 7:11 am
Aug. 18, 2105) After the AMI en banc decision, the panel granted rehearing of National Association of Manufacturers v. [read post]
9 Aug 2015, 6:03 pm
” The appellate court added that “other courts interpreting identical insured v. insured exclusions have reached the same conclusion. [read post]
6 Aug 2015, 6:21 pm
IT security budgeting. [read post]
