Search for: "Suspensions, LLC"
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28 May 2021, 10:52 am
LPL Financial LLC Zachary Bader National Securities Corporation Craig Scott Capital, LLC Peter Brown Oppenheimer & Co. [read post]
28 May 2021, 8:17 am
The length of the suspension depends on the number of points accumulated. [read post]
28 May 2021, 7:21 am
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]
27 May 2021, 8:57 am
Navistar Defense, LLC, et al., No. 13-cv-1463 (D.D.C). [read post]
21 May 2021, 8:45 am
Antaki consented to the suspension after FINRA alleged that he excessively and unsuitably traded a customer’s account. [read post]
20 May 2021, 8:43 am
That suspension was lifted in June 2019 but reimposed in January 2020. [read post]
14 May 2021, 3:36 pm
Knispel, LLC. [read post]
10 May 2021, 12:25 pm
Asfora, Medical Designs LLC, and Sicage LLC On May 3, the DOJ announced that neurosurgeon Wilson Asfora, M.D. and the two medical device distributorships he owns, Medical Designs LLC and Sicage LLC, will pay $4.4 million to resolve allegations that they violated the False Claims Act. [read post]
10 May 2021, 12:25 pm
Asfora, Medical Designs LLC, and Sicage LLC On May 3, the DOJ announced that neurosurgeon Wilson Asfora, M.D. and the two medical device distributorships he owns, Medical Designs LLC and Sicage LLC, will pay $4.4 million to resolve allegations that they violated the False Claims Act. [read post]
4 May 2021, 10:52 am
From Elder v. 21st Century Media Newspaper, LLC, officially released today by the Appellate Court of Connecticut (opinion by Judge Barbara Bellis, joined by Chief Judge William H. [read post]
4 May 2021, 6:01 am
The suspension is scheduled to start on May 17, 2021 and end on June 20, 2021. [read post]
30 Apr 2021, 11:59 am
License Suspensions Are Longer with Subsequent DUIs The sentences for subsequent DUI convictions are harsher and the license suspensions are longer. [read post]
27 Apr 2021, 8:28 am
We also tap attorneys from the firm’s other practice groups and our subsidiary McGuireWoods Consulting LLC. [read post]
25 Apr 2021, 5:48 am
In re JSCL, LLC, 2021 VT 22. [read post]
21 Apr 2021, 2:43 pm
Hakimian consented to the suspension after FINRA alleged that he borrowed $120,000 from a customer without notice to or obtaining written pre-approval from his employing brokerage firm, LPL Financial LLC, in violation of FINRA Rules 3240 and 2010. [read post]
21 Apr 2021, 9:37 am
PARITER SECURITIES, LLC SANDLAPPER SECURITIES, LLC VESTECH SECURITIES, INC. [read post]
17 Apr 2021, 8:36 am
Google LLC, 2021 WL 1423118 (9th Cir. [read post]
16 Apr 2021, 9:38 pm
Meltzer, Purtill & Steele, LLC, 2021 IL App (1st) 200414-U. [read post]
16 Apr 2021, 11:56 am
At the Law Office of Patricia Magana, LLC, our Spanish-speaking attorney knows the defenses available that can help you avoid a conviction and retain your CDL. [read post]
9 Apr 2021, 12:54 pm
Frey was employed by Lincoln Douglas Investments, LLC in Mt. [read post]
