Search for: "Cooper Industries, LLC"
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5 May 2016, 6:30 am
©2016 Amaxx LLC. [read post]
31 Mar 2016, 9:51 am
FINRA Broker Disciplinary Action Report March 2016 Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
24 Mar 2016, 5:32 am
Subcontracting Concepts, LLC, 2013 WL 951336, at *5 (Mag. [read post]
2 Mar 2016, 12:00 pm
Goyal initially agreed, along with other witnesses, to cooperate in the government’s criminal cases against Newman and Chiasson. [read post]
29 Feb 2016, 11:08 am
According to its website it is the successor to Lacefield & Coleman Fair Housing Advocates LLC and specializes in helping individuals who have fair housing complaints. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
10 Feb 2016, 12:42 pm
” Cooper v.Goldfarb, 154 F.3d 1321, 1331 (Fed. [read post]
28 Jan 2016, 1:33 pm
Furthermore, FINRA barred the broker from association with any FINRA member firm because of his failure to cooperate with its investigation. [read post]
22 Jan 2016, 6:56 am
Cooper & Company, Inc. [read post]
11 Jan 2016, 3:10 pm
Giles Construction, LLC v. [read post]
5 Jan 2016, 12:22 pm
”[v] Although Cosgrove Law Group LLC focuses its practice in financial industry matters, it also represents clients in the federal courts. [read post]
8 Dec 2015, 10:46 am
Mile High Times LLC et al, 1:2014-cv-02039 Trans-High Corp. v. [read post]
5 Nov 2015, 11:46 am
The FTC’s efforts will include not just enforcement actions, but also cooperative efforts with the debt-collection industry “to stop questionable practices before they start. [read post]
28 Oct 2015, 4:29 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
7 Oct 2015, 6:24 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Financial advisors may find themselves to be the subject of a FINRA investigation conducted pursuant to FINRA Rule 8210. [read post]
2 Oct 2015, 9:01 am
Rodríguez-Reyes joined Ferraiuoli LLC is a Senior Associate. [read post]
29 Sep 2015, 2:02 pm
Awad, Torres, Snetzko, Wildermuth, Tannen, Elmazi, and Marzec had all transferred from HFP Capital Markets LLC (“HFP”) – a brokerage firm that FINRA had previously barred from the industry, to a Global Arena branch office that was specifically opened to employ them in October 2013. [read post]
28 Sep 2015, 2:10 pm
In response to certain long-standing industry practices that it views as prohibited by the FLSA, DOL has included oil and gas industry and a broad range of other employers among the industries that DOL is specifically targeting for investigation and enforcement of minimum wage, overtime and other FLSA violations as well as educational outreach to employers and employees in the industry. [read post]
27 Sep 2015, 4:20 am
Chuck Grassley of Iowa delivered a speech in the Senate on the dangers of the “leniency industrial complex. [read post]
20 Aug 2015, 6:30 am
©2015 Amaxx LLC. [read post]
