Search for: "Suspensions, LLC"
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1 Apr 2024, 7:16 am
Following this, FINRA then sent two suspension letters in November and December of 2023, and Kersey failed to respond to either letter, including requesting termination of suspension. [read post]
15 Mar 2024, 4:00 am
State business filings show Efficient Private Protection and Security LLC is owned by Brenda Grisham, who also serves as one of two principal officers for the recall campaign, Save Alameda For Everybody. [read post]
13 Mar 2024, 1:50 pm
This suspension ranges from 90 days to one year. [read post]
6 Mar 2024, 2:44 pm
"] From Coffeeshop, LLC v. [read post]
28 Feb 2024, 6:53 am
” Rating: 5/5 The post What College Students Should Expect if Charged with a Crime in PA appeared first on Worgul, Sarna & Ness, Criminal Defense Attorneys, LLC. [read post]
10 Feb 2024, 3:23 pm
Google, LLC, 2024 WL 476944 (N.D. [read post]
8 Feb 2024, 11:34 am
The New Jersey Supreme Court imposed a three-month suspension for misconduct described by the Disciplinary Review Board Between April 2016 and September 2019, Branigan & Associates, LLC (B&A) embarked upon an extensive advertising campaign throughout New Jersey to solicit clients... [read post]
8 Feb 2024, 7:47 am
The retaliation judgment resulted from a Labor Department lawsuit filed against Milford Sports Bars LLC, doing business as Champions Grill and Bar, and its owner, Loren Drotos, who is also known as Mark Roberts, Mark Drotos and Mark Lawrence. [read post]
1 Feb 2024, 6:19 pm
West Virginia based Ole Jose Grill & Cantina LLC, paid $167,000 in back pay and penalties to 17 tipped employees after the U.S. [read post]
1 Feb 2024, 3:27 pm
Full cooperation, in turn, could even lead to “full suspension” of penalties in “non-egregious cases” while reducing the base penalty amount in “egregious case[s]. [read post]
1 Feb 2024, 1:34 pm
FINRA Rule 9554 allows for expedited suspension or cancellation of membership of any party that fails to comply with a FINRA arbitration award. [read post]
31 Jan 2024, 11:31 am
– $2.9 million, Janney Montgomery Scott, LLC – $1.2 million, AXA Advisors, LLC – $600,000, and Stephens Inc. [read post]
29 Jan 2024, 12:00 pm
Regulatory actions found on a broker-dealer’s CRD may include censures, fines, suspensions, and restitution, among others. [read post]
26 Jan 2024, 1:40 pm
FINRA barred him in June 2018 after he failed to request termination of his suspension within three months. [read post]
25 Jan 2024, 12:25 pm
At that time, she faced consequences for engaging in the sale of “alternative investments” without the necessary registrations, leading to a suspension of her investment adviser license and the requirement to repay commissions. [read post]
24 Jan 2024, 1:47 pm
Regulatory actions taken against a broker-dealer may include censures, fines, suspensions, and restitution, among others. [read post]
24 Jan 2024, 1:37 pm
Regulatory actions taken against a broker-dealer may include censures, fines, suspensions, and restitution, among others. [read post]
23 Jan 2024, 9:30 am
FINRA subsequently suspended Digioia on 9/27/2023 for failing to pay the award, with the suspension standing until the award has been paid in full to the petitioner. [read post]
22 Jan 2024, 11:36 am
Work with an experienced Georgia False Claims Act lawyer at Griffin Durham Tanner & Clarkson LLC if you have knowledge of fraud against the U.S. [read post]
18 Jan 2024, 1:30 pm
The White Law Group reviews the regulatory history of Cabot Lodge Securities LLC. [read post]
