Search for: "Cooper Financial, LLC"
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6 Sep 2010, 9:49 am
At The Divorce Collaborative LLC, we never tase our clients. [read post]
18 Apr 2012, 3:12 pm
Nash (gaming compact, sovereign immunity)Western Sky Financial, LLC v. [read post]
3 Feb 2009, 5:57 am
., AIG Financial Products Corp., UBS AG, and Piper Jaffray & Co. [read post]
8 Mar 2019, 11:29 am
MTS agreed to cooperate fully with the ongoing investigation into Akhmedov and Karimova, and the appointment of an independent compliance monitor for three years, and to implementation of rigorous internal controls. [read post]
10 Apr 2007, 5:51 pm
Union itself is a fund manager and member of a cooperative of financial institutions, consisting almost entirely of banks (see here, in German) and two of its main shareholders are banks, namely DZ Bank AG and WGZ Bank AG. [read post]
5 Nov 2015, 11:46 am
The agency also announced settlements in pending actions against National Check Registry, LLC, and K.I.P., LLC. [read post]
21 Nov 2017, 11:23 am
Neo@Ogilvy LLC, WPP Group USA, Inc., saw Clause (iii) as ambiguous, invoked Chevron, and chose to defer to Rule 21F-2. [read post]
9 Sep 2010, 5:52 am
Under this cooperation, the individual usually must provide all the information he knows regarding the alleged scheme. [read post]
9 Sep 2010, 5:52 am
Under this cooperation, the individual usually must provide all the information he knows regarding the alleged scheme. [read post]
1 Feb 2024, 1:25 pm
Financial Advisors who have engaged in misconduct or otherwise violated FINRA rules or regulations frequently surrender their license rather than cooperate in a FINRA investigation. [read post]
31 Mar 2010, 9:33 pm
The Company cooperated fully with the requests of the New York State Attorney General, with the assistance of outside counsel. [read post]
28 May 2021, 8:02 am
Allstate Financial Services, LLC Dorinda Lumpkin BBVA Securities Inc. [read post]
2 Feb 2016, 7:14 am
Generally, sole proprietorships, partnerships and most LLCs are taxed at the same rates as individuals, whereas certain other LLCs and corporations are taxed at corporate rates. [read post]
19 Apr 2017, 6:30 am
Author Michael Stack, Principal, Amaxx LLC. [read post]
23 Dec 2011, 8:57 am
As part of the multistate settlement, GE Funding has agreed to pay $30 million in restitution to affected state agencies, municipalities, school districts and not-for-profit entities nationwide that entered into guaranteed investment contracts with GE Funding and two of its affiliates – Trinity Funding Company, LLC and Trinity Plus Funding Company, LLC – between 1999 and 2005. [read post]
7 Jun 2024, 7:05 am
Financial Advisors who have engaged in misconduct or otherwise violated FINRA rules or regulations frequently surrender their license rather than cooperate in a FINRA investigation. [read post]
8 Jul 2019, 2:49 am
Cortazar is a reminder that the fiduciary duties of loyalty, good faith, and to refrain from self dealing that LLC owners owe one another are quite real, and that breach of those duties can have terrible financial consequences for those in the wrong. [read post]
10 Oct 2013, 8:42 am
American Sleep Medicine LLC ($15.3 Million) The Department of Justice announced a $15.3 million False Claims Act settlement it reached with American Sleep Medicine LLC. [read post]
3 May 2016, 1:42 am
, 128 U.S. 315 (1888) Cooper v. [read post]
8 Mar 2011, 8:12 am
The SEC has already proposed a sweeping set of rules in the whistleblower area.[6] Recognizing that corporate compliance efforts can be undermined by creating a regime where whistleblowers bent on financial rewards are encouraged to end run internal compliance processes, the SEC has tried to strike a balance by making it possible for whistleblowers who go first to internal compliance to still get credit for being a whistleblower under the statute.[7] It has also suggested that it may… [read post]
