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10 Nov 2015, 2:18 pm by D. Daxton White
White will shine a light on some of the tricks of the brokerage industry while also providing valuable information for investors on how to successfully navigate the investor/financial advisor relationship Dax: Welcome everyone; you’re listening to Wall Street v. [read post]
5 Nov 2015, 12:15 pm by Elina Saxena, Cody M. Poplin
White House Press Secretary Josh Earnest told reporters that while the president would like to work with Congress to close the facility, he would not “rule out the president u [read post]
30 Oct 2015, 3:30 pm by D. Daxton White
White talks about potential concerns with oil and gas limited partnerships, and other high commission securities products. [read post]
23 Oct 2015, 3:00 am by Broc Romanek
The SLB also touches on the Rule 14a-8(i)(7) litigation playing out in Trinity Wall Street v. [read post]
16 Oct 2015, 6:32 am by Doug Cornelius
Compliance Officers Call for SEC Enforcement Guidelines by Randi Val Morrison in the CorporateCounsel.net On the heels of recent SEC enforcement actions against Chief Compliance Officers (CCO) and associated statements by Commissioners Gallagher and Aguilar and Chair White, the National Society of Compliance Professionals, a financial services industry trade group for compliance officers, sent this letter to SEC Director of Enforcement Andrew Ceresney requesting that the… [read post]
23 Sep 2015, 9:01 pm by Vikram David Amar
Whiting, and three weeks ago federal District Court Judge Susan Bolton issued a ruling on both. [read post]
17 Sep 2015, 1:27 pm by D. Daxton White
White discusses variable annuities, the troubling situation brewing in Puerto Rico as well as what has been going on in the oil industry. [read post]
8 Sep 2015, 5:08 pm by Kevin LaCroix
  First, in a July 8, 2015 decision in Acevedo v. [read post]
30 Aug 2015, 9:30 pm by Seth Kreimer
White once observed, “It is not often that someone comes along who is a true friend and a good writer. [read post]
25 Aug 2015, 12:45 pm by Ruth Levush
In January 2015, for example, a UAV accidentally crashed on the White House grounds. [read post]