Search for: "National Association Of Securities Dealers, Inc."
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19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
1 Apr 2024, 7:16 am
Kersey had only one prior disclosure, dated 11/11/1999, from The National Association Of Securities Dealers (NASD, the predecessor of FINRA). [read post]
29 Mar 2024, 4:00 am
National/Federal Trump’s Legal Fees Are Sky High. [read post]
22 Mar 2024, 9:07 am
(CRD#:249), FORT MYERS, FLB, 02/09/2007 – 07/26/2018, RAYMOND JAMES & ASSOCIATES, INC. [read post]
14 Mar 2024, 6:19 pm
The settlement, disclosed on the state’s Bureau of Securities Regulation website, reportedly imposes hefty penalties on Kulch and his former broker-dealer, Next Financial Group Inc., totaling over $1 million. [read post]
31 Jan 2024, 11:31 am
National Securities Attorneys The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
25 Jan 2024, 6:06 pm
Shares trade on a national securities exchange. [read post]
10 Jan 2024, 9:01 pm
Inc., 448 F. [read post]
27 Dec 2023, 6:09 pm
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois. [read post]
18 Dec 2023, 2:48 pm
The National Venture Capital Association Revises its Model Legal Documents. [read post]
1 Dec 2023, 8:06 am
(CRD# 6363) of New York, NY, National Securities Corporation (CRD# 7569) of Westbury, NY, and Gilford Securities Incorporated (CRD# 8076) of Melville, NY. [read post]
1 Dec 2023, 1:16 am
Specifically, The White Law Group is investigating the following ArciTerra offerings: ArciTerra National REIT, Inc. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
8 Nov 2023, 9:24 am
Inc. [read post]
6 Nov 2023, 11:00 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
24 Oct 2023, 9:01 pm
Our ongoing off-channel communications sweep to ensure that regulated entities, including broker-dealers and investment advisers, comply with their recordkeeping requirements is a good example. [read post]
22 Oct 2023, 5:03 pm
Phillips, 126 So.3d 186 (Fla. 2013), has addressed this question in the context of a tort claim before the National Association of Securities Dealers. [read post]
20 Oct 2023, 2:40 pm
On July 26, 2023, the SEC proposed new rules aiming to address conflicts of interest associated with the use of predictive data analytics (“PDA”) and other similar AI-powered tools. [read post]
17 Oct 2023, 7:25 am
Brokers-Dealers That Recommended Northstar Northstar Financial Services (Bermuda) was sold by many broker-dealers, including: Ankoh Investment Services, Inc. [read post]
4 Oct 2023, 7:54 am
Today, the Fifth Circuit will be hearing oral arguments in National Horsemen's Benevolent and Protective Association v. [read post]
