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16 Nov 2023, 6:28 am
Recently, Traderfield Securities Inc. and its principal, Mario Divita, found themselves at the center of regulatory scrutiny by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Nov 2023, 8:55 am
Louis Advisor John Fagan from Securities Industry According to public records, FINRA has reportedly barred financial advisor John Fagan (CRD#: 1267279) from the securities industry. [read post]
15 Nov 2023, 7:46 am
In Burlington Industries, Inc. v. [read post]
15 Nov 2023, 6:26 am
The SEC also brought numerous enforcement actions addressing conduct that undermines oversight of the securities industry, including actions to protect whistleblowers and actions to enforce recordkeeping requirements and other investor protection requirements applicable to industry participants, including broker-dealers and investment firms. [read post]
15 Nov 2023, 1:14 am
By Nikki Vafai[1] Since time immemorial, space has been a point of inspiration and perplexity to those who glance upon it. [read post]
14 Nov 2023, 9:01 pm
The SEC also brought numerous enforcement actions addressing conduct that undermines oversight of the securities industry, including actions to protect whistleblowers and actions to enforce recordkeeping requirements and other investor protection requirements applicable to industry participants, including broker-dealers and investment firms. [read post]
13 Nov 2023, 9:05 pm
”[9]Although Secretary Yellen recognized that risks often “emanate from widely conducted activities and can be addressed through action by an existing regulator or interagency coordination,” she argued that, in other instances, risks are “instead concentrated in one or more specific nonbank financial companies. [read post]
13 Nov 2023, 7:51 am
In the case of In re Global Industrial Technologies, Inc., 645 F.3d 201, 211 (3d Cir. 2011), the Third Circuit held that Article III and Section 1109(b) are coextensive, finding that any party with a “cognizable, traceable, and redressable” interest in the resolution of a bankruptcy proceeding is a “party in interest. [read post]
13 Nov 2023, 5:05 am
By Kouros Sadeghi-Nejad Introduction As the global climate crisis intensifies, an unlikely industry is bracing for an unpredictable storm of its own: the fine art market. [read post]
10 Nov 2023, 1:35 pm
quickly to implement and communicate 2024 health spending account (“HFSA”), high deductible health plan amounts relevant to determining eligibility to contribute to a medical savings account (“MSA”), adoption credit and exclusion limits, and other inflation-adjusted limitations relevant to the annual enrollment, withholding and other year-end tax and benefit planning of workers and their families to assist workers to take into account these adjustments during 2024 benefit… [read post]
10 Nov 2023, 8:22 am
Inc., 154 F.Supp.3d at 1182. [read post]
10 Nov 2023, 7:44 am
(CRD#:127724), CANTON, OH, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
10 Nov 2023, 7:01 am
He has been in the industry since 1996. [read post]
9 Nov 2023, 1:48 pm
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
9 Nov 2023, 1:07 pm
quickly to implement and communicate 2024 health spending account (“HFSA”), high deductible health plan amounts relevant to determining eligibility to contribute to a medical savings account (“MSA”), adoption credit and exclusion limits, and other inflation-adjusted limitations relevant to the annual enrollment, withholding and other year-end tax and benefit planning of workers and their families to assist workers to take into account these adjustments during 2024 benefit… [read post]
9 Nov 2023, 12:04 pm
., the former co-CEOs of California-based private technology services startup Bitwise Industries Inc., for misleading investors about the company’s finances. [read post]
9 Nov 2023, 6:29 am
He has been in the industry since 2000. [read post]
9 Nov 2023, 4:15 am
Sols., Inc., 55 Cal. 4th 1185, 1195–96 (2013) (applying the same to UCL claims which allege a deceptive practice). [read post]
8 Nov 2023, 9:24 am
(CRD#: 8158/SEC#: 801-7571,8-497) and the Financial Industry Regulatory Authority Inc. [read post]
8 Nov 2023, 4:30 am
” Meyers Industries, 281 NLRB 882, 887 (1986) (Meyers II), affd. sub nom. [read post]
