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26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, 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 Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Bennett,… [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, 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 Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley,… [read post]
4 Aug 2023, 7:34 am
According to FINRA Disciplinary actions for July 2023, 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 Michael Borning Pruco Securities, LLC Wells Fargo Clearing Services, LLC Conway Donaldson Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Incorporated Bridget Fernandez UBS… [read post]
28 Oct 2020, 5:01 am
In Lynch v. [read post]
28 Oct 2020, 5:01 am
In Lynch v. [read post]
12 Oct 2009, 7:43 am
Background on BofA/Merrill Lynch Merger When forming the contract in a hasty manner, BofA and Merrill Lynch executives developed a joint proxy statement in order to obtain votes from shareholders regarding the merger. [6] In this statement, BofA stated that Merrill Lynch executives would not receive year-end bonuses or other incentives without the… [read post]
3 Aug 2010, 11:01 pm
In my last blog post about NBTY (NYSE: NTY), I examined the timing of purchases of company stock by directors Michael L. [read post]
6 Jul 2016, 9:05 pm
[Michael Greve, Jonathan Adler, Daniel Fisher first and second on Bank Markavi v. [read post]
28 Jan 2020, 3:00 am
” by Kavahn Mansouri for Belleville News-Democrat Elections National: “Sanders Supporters Have Weaponized Facebook to Spread Angry Memes About His Democratic Rivals” by Craig Timberg and Isaac Stanley-Becker for Washington Post Ethics National: “Trump Tied Ukraine Aid to Inquiries He Sought, Bolton Book Says” by Maggie Haberman and Michael Schmidt (New York Times) for MSN Massachusetts: “Former City Hall Aide John Lynch Sentenced to 40 Months… [read post]
4 Jan 2017, 11:06 am
According to John Lynch at Arkansas Online, following his parole for a 2013 conviction on charges of unlawful discharge of a firearm, Hill fled from police officers after stealing a vehicle at gunpoint. [read post]
19 Sep 2010, 4:53 pm
Delahunt of Quincy, and Michael E. [read post]
6 Jan 2010, 3:16 pm
Ford (Penn, Michigan Law), moved to New York three years ago and currently works at Merrill Lynch. [read post]
8 May 2018, 8:55 am
Carlos Antonio Rodriquez UBS Financial Services Inc Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
17 Aug 2014, 9:06 pm
” [@jeffclement, part of an interesting Storify on veterans' opinions of Ferguson; related on gun-handling practice of Ferguson police last week as seen by gun aficionados [Reddit via VICE] Obama should call for an end to the 1033 program, which drives local police militarization, says my Cato colleague Tim Lynch [CNN, Yahoo] Pentagon surplus grants to local police don’t correlate with terror threats (state that gets most per officer: Alabama) [WP] Missouri grant angle… [read post]
9 Mar 2010, 8:44 pm
The Honorable Sandra Lynch (1st Cir.) [read post]
16 May 2011, 9:21 am
Lynch and Lystra Batchoo published on May 9, 2011 in The Corporate Counselor. [read post]
30 Jul 2007, 11:29 am
But its managers are being forced to make decisions on the same focused quarterly-returns basis that guides choices at Merrill Lynch or General Motors. [read post]
28 Jan 2011, 5:34 am
Michael Niccole for Mistresses Makeover day on Jan. 12. [read post]
6 Jan 2015, 6:41 am
Economic-Justice Group Agree It Gets Things Done” by Emily Alpert Reyes for Los Angeles Times Maryland: “Hogan’s Pick for Health Chief Says He’ll Avoid Conflicts” by Michael Dresser and Meredith Cohn for Baltimore Sun Maryland: “Maryland Gov. [read post]
3 Apr 2012, 1:52 pm
Weerasinghe, 61, will replace Michael Helfer, who has been general counsel at Citi for nine years. [read post]
