Search for: "Christopher Smith"
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11 Mar 2019, 4:05 am
Christopher D.L. [read post]
8 Mar 2019, 3:43 am
Co. of Pittsburgh, Pa. v Christopher Assoc., 257 AD2d 1, 12 [1st Dept 1999]). [read post]
1 Mar 2019, 6:04 am
Smith, and Kellie C. [read post]
28 Feb 2019, 1:20 pm
Sherrets, Smith v. [read post]
26 Feb 2019, 11:47 am
Christopher Charles Hellman (CRD #6584084, Plantation, Florida) Without admitting or denying the findings, Hellman consented to the sanction and to the entry of findings that he failed to provide FINRA with requested documents and information during its investigation initiated after receiving a Form U5 filed by his member firm that terminated his registration for conduct including failure to adhere to firm standards regarding selling away and failure to fully disclose participation in… [read post]
20 Feb 2019, 1:04 pm
Sherrets, Smith v. [read post]
17 Feb 2019, 9:45 am
Vandercook’s book Black Majesty: The Life of Christophe, King of Haiti, published in 1928. [read post]
12 Feb 2019, 4:00 am
Ken Smith, Barbara Finklestein and Christopher O’Malley (Economic Impacts of Legal Aid, Management Information Exchange Journal, 2011, p. 14) state that these examples “illustrate that cost-benefit data can have the greatest power when it leverages — rather than replaces — the traditional message of unmet need for legal assistance. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores JP Morgan Securities … [read post]
26 Jan 2019, 6:51 am
Robin Smith, No. 115,586 (Johnson)Sentencing appeal (petition for review)Samuel D. [read post]
22 Jan 2019, 8:56 am
In White-Smith Music Publishing Co. v. [read post]
20 Jan 2019, 7:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
3 Jan 2019, 9:01 pm
Smith rejects the notion that her business has anything to do with the legislation she sponsored. [read post]
3 Jan 2019, 4:23 pm
Khan v Orbis Business Intelligence Limited 20 September 2018, DC Superior Court (United States) A case which covered statements made by Christopher Steele, former MI6 officer, in a Fusion GPS dossier regarding three Russian oligarchs and their links to the Trump campaign. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company American General… [read post]
2 Jan 2019, 9:01 pm
Campaign Finance National: “Congress Unlikely to Stop Super PACs from Hiding Donors” by Maggie Severns for Politico National: “Potential 2020 Candidates Confront the Need for Campaign Cash, and Fewer Sources of It” by Matt Viser for Washington Post National: “Trump Effect: How out-of-state money fueled Democratic House wins in 2018” by Maureen Groppe and Christopher Schnarrs for USA Today South Dakota: “Undisclosed Donors Gave $95K in SD Governor… [read post]
28 Dec 2018, 9:31 am
Christopher Hellman was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Boca Raton, Florida from September 21, 2016 until October 16, 2018, FINRA notes. [read post]
20 Dec 2018, 10:00 am
SchmidtCraig Alan Smith, Sitting by Designation: Retired Justice Tom C. [read post]
18 Dec 2018, 11:12 am
According to FINRA Disciplinary actions for November 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Christopher Cervino Primary Capital, LLC COR Clearing LLC Abdul Chowdhury AXA Advisors, LLC JP Morgan Securities LLC Michael Durgin Hilltop Securities Inc. [read post]
18 Dec 2018, 11:03 am
NYLIfe Securities LLC Christopher Simonds Edward Jones Kimberly Sredich Dudley Stephens Coastal Equilites, Inc Prospera Financial Services, Inc Divanna Tejeda JP Morgan Securities LLC Chase Investment Services Corp Derrick Trussell PFS Investments Inc. [read post]
