Search for: "Joseph D Registre" Results 21 - 40 of 298
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15 Jun 2011, 9:03 am by John Jascob
Written comments may also be mailed to the attention of Joseph Brady at NASAA's corporate office in Washington, D.C. [read post]
6 Jul 2018, 3:22 am
Thomas McCarthy discusses (here) the CAFC's ruling in the INSIGNIA case, Joseph Phelps Vineyards, LLC v. [read post]
14 Aug 2011, 12:00 am by SOIssues
RAMSEY - Leagle.com Upon review of the record, it appears that we lack jurisdiction over Defendant-Appellant William Ramsey's (Appellant) appeal from the Honorable Joseph B. [read post]
6 Jan 2009, 1:08 am
  During 2008, the world became significantly more dangerous for D&O underwriters. [read post]
15 Sep 2015, 6:19 am by Amy Howe
” In The Legal Intelligencer (subscription or registration required), Charles Kelbley discusses Montgomery v. [read post]
10 Feb 2012, 2:41 pm by Rekha Arulanantham, ACLU
Let us know if this is useful or if you'd like to see changes. [read post]
10 Jul 2020, 5:00 am by John Jascob
Black and his affiliated entities Financial Tree (d/b/a Financial Tree Trust), Financial Solution Group (d/b/a Financial Solution Group Trust), and New Money Advisors, LLC, as well as his associates Christopher Mancuso and Joseph Tufo. [read post]
29 Oct 2013, 7:15 am by James Hamilton
Nydia Velazquez (D-NY), is substantially similar to H.R. 1800 except that it does not direct the SEC to revise Rules 418 and 14a-101 and Regulation FD Rule 103. [read post]
4 Apr 2016, 11:23 am by Mark Astarita
The Securities and Exchange Commission today announced that it has charged four individuals in a fraud whose victims included seniors who were solicited at “free dinner” investment seminars in Florida.The SEC alleges that Philadelphia residents Joseph Andrew Paul and John D. [read post]
31 May 2009, 6:28 pm
Joseph noted that the Managed Funds Association, which represents the hedge fund industry, now supports the registration of investment managers - including hedge fund managers - with the SEC. [read post]