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3 Feb 2021, 10:18 am
The arbitrator recommended that the broker’s U5 record should be expunged, the reason for termination changed to “Permitted to Resign,” and the language in the termination explanation changed to the following: “The Associated Person was permitted to resign because the savings account opened at Bank of America by her on behalf of a client was based on the client’s authorization,” the self-regulator says. [read post]
2 Feb 2021, 8:26 am
The post Nicholas Palumbo Terminated For Selling Away appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Jan 2021, 8:30 pm
It also said it will only accept gifts from U.S. citizens, lawfully admitted permanent residents, and American corporate entities and associations. [read post]
28 Jan 2021, 6:09 pm
(c) 2020 ALM Media Properties, LLC. [read post]
28 Jan 2021, 9:34 am
., and Jack Henry & Associates. [read post]
26 Jan 2021, 6:47 am
LLC with a fine of $1.25 million in connection with alleged violations of rules concerning fingerprinting. [read post]
22 Jan 2021, 11:28 am
The post FINRA Bars James Couture Of LPL Financial After Termination appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Jan 2021, 2:25 am
Accordingly, agreements concluded with Finnish clients prior to Brexit need not be terminated. [read post]
21 Jan 2021, 8:30 pm
The Republican Attorneys General Association was involved, as were the activist groups Turning Point Action and Tea Party Patriots. [read post]
20 Jan 2021, 8:49 am
¶5 Specifically, Ryan alleged: (1) “Brenda does not communicate with Ryan regarding [the children] and their needs”; (2) Ryan was “not informed” when one of the children “suffered a concussion” or about the associated “activity restrictions”; (3) “Brenda has refused to allow [the children] to attend significant events in Ryan’s and [the children’s] lives”; (4) Ryan and his current spouse have a… [read post]
18 Jan 2021, 10:48 am
Voluntary dissociation terminates management rights, but not economic rights. [read post]
16 Jan 2021, 10:57 pm
INTRODUCTION Letters of intent are pre-contract documents. [read post]
14 Jan 2021, 9:14 am
Wells Fargo to Pay $40m to Resolve Overbilling SuitLaw360 – January 12, 2021 (subscription required) Wells Fargo Merchant Services LLC has agreed to pay up to $40 million in a settlement to end claims by small businesses that it overcharged them and hit them with early termination fees, according to a motion filed Tuesday. [read post]
13 Jan 2021, 11:49 am
Here at Koprince Law LLC, we are eager to turn the page and move on with 2021, too. [read post]
8 Jan 2021, 4:17 am
At that time, Ameriprise terminated her employment. [read post]
6 Jan 2021, 7:31 am
Prime Now, LLC., No. 19-cv-00420 (M.D. [read post]
5 Jan 2021, 11:32 am
The firm filed a Form U5 indicating that he had been terminated regarding the policy. [read post]
29 Dec 2020, 8:43 am
Further, the Share Redemption Program (SRP) was terminated. [read post]
28 Dec 2020, 10:59 am
The Form U5 is the Uniform Termination Notice for Securities Industry Registration. [read post]
21 Dec 2020, 5:17 pm
In acquiescence to the District Court’s January, 2020 holding that the prohibition against Covered Entities charging for third party copies in the current regulations exceeded its statutory authority in Ciox Health, LLC v. [read post]
