Search for: "Attorney Registration and Disciplinary Commission"
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14 Apr 2023, 11:27 am
The Securities and Exchange Commission said that altogether, customers of the four firms were swindled out of $3.5 million by brokers who made unauthorized trades in their clients’ accounts, traded accounts excessively to increase their commissions, or simply stole customers’ money. [read post]
21 Mar 2023, 7:46 am
A FINRA attorney’s primary responsibility is to represent clients who are involved in legal disputes or regulatory investigations with FINRA or other government agencies such as the SEC (Securities and Exchange Commission). [read post]
8 Nov 2022, 9:05 pm
The SEC proposes to require registrants to disclose all Scope 1 and Scope 2 emissions. [read post]
7 Oct 2022, 9:00 am
Other duties include providing guidance on policies, practices, and procedures regarding enrollment management and course registration, assisting with website development and maintenance, and creating and distributing IPLP promotional materials through social media platforms. [read post]
7 Oct 2022, 4:00 am
Rhodes’ defense attorney Philip Linder said Oath Keepers came to Washington as “peacekeeping” security guards, believing then-President Trump could invoke the Insurrection Act to mobilize private militias, put down riots, and remain in power. [read post]
29 Jul 2022, 12:28 pm
Our attorneys have recovered millions of dollars from many brokerage firms in the past. [read post]
22 Jul 2022, 4:00 am
National/Federal Bipartisan Group Seeks to Limit Who Federal Agencies Can Contract With Government Executive – Eric Katz | Published: 7/14/2022 A bipartisan group of senators is looking to set new limitations on the entities with which federal agencies can contract, introducing legislation to ban the government from doing business with companies that work with certain other nations. [read post]
8 Jul 2022, 4:00 am
Despite Rebukes, Trump’s Legal Brigade Is Thriving Yahoo News – Heidi Pryzbyla (Politico) | Published: 7/5/2022 Sixteen lawyers who represented plaintiffs in five lawsuits promoting Donald Trump’s baseless election fraud claims in the battlegrounds of Michigan, Georgia, Wisconsin, and Arizona remain in good standing or have no record of disciplinary action with their respective bar associations or licensing authorities. [read post]
25 Jun 2022, 12:37 pm
(b) A person commits an offense if the person: (1) knowingly finances the commission of an offense under Subsection (a); (2) invests funds the person knows or believes are intended to further the commission of an offense under Subsection (a); or (3) is a professional who knowingly accepts employment within the scope of the person’s license, registration, or certification that results from the solicitation of employment in violation of… [read post]
21 Apr 2022, 12:49 pm
Please provide your BPR number upon registration in order for Bass, Berry & Sims to report your participation to the Tennessee CLE Commission. [read post]
19 Apr 2022, 7:00 pm
The lawsuit began when Ring filed an October 2021 complaint against the Administrator of the Illinois Attorney Registration and Disciplinary Commission. [read post]
6 Apr 2022, 4:41 pm
The Attorney Registration and Disciplinary Commission is responsible for regulating attorney behavior in Illinois. [read post]
18 Mar 2022, 4:00 am
At least one American firm and a separate lawyer each recently disclosed under the Foreign Agents Registration Act that they started pro-bono work for Ukrainian government officials since the start of Russia’s invasion. [read post]
15 Mar 2022, 10:35 am
In “atypical fashion,” the Commission set aside the findings in two. [read post]
2 Mar 2022, 2:44 am
The turn of his career path towards working as a patent professional took place in 2007, when he was enrolled as patent examiner at the Swedish Patent and Registration Office. [read post]
19 Oct 2021, 1:38 pm
Previously, a client filed a claim on 7/11/2017, alleging that Reda charged excessive commissions. [read post]
11 Oct 2021, 11:10 am
Event Announcements (More details on the Events Calendar) Monday, October 11, 2021, at 4:00 p.m.: The Wilson Center will host an event discussing “Making the Forever War,” a book covering Marilyn Young’s concerns on the constancy of American war. [read post]
15 Sep 2021, 1:36 am
The Complaint further alleges Jaffe actively engaged in activities at IBS requiring registration such as communicating with IBC customers regarding their investments and receiving commissions under the disguise of the “analyst” agreement considered by the NAC. [read post]
15 Sep 2021, 1:36 am
The Complaint further alleges Jaffe actively engaged in activities at IBS requiring registration such as communicating with IBC customers regarding their investments and receiving commissions under the disguise of the “analyst” agreement considered by the NAC. [read post]
15 Sep 2021, 1:36 am
The Complaint further alleges Jaffe actively engaged in activities at IBS requiring registration such as communicating with IBC customers regarding their investments and receiving commissions under the disguise of the “analyst” agreement considered by the NAC. [read post]
