Search for: "Document Security Systems, Inc."
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4 Oct 2020, 12:46 pm
Selling away misconduct often occurs where brokerage firms either fail to put in place a reasonable supervisory system or fail to actually implement that system. [read post]
16 Sep 2016, 6:45 am
Thereafter from June 2011 until June 2012 Muirhead was registered with Signator Investors, Inc. [read post]
23 Jan 2015, 8:17 am
Prior to that, securities-fraud lawsuits under Sections 10(b) and 20(a) of the Securities Exchange Act were filed by shareholders of Heartland Payment Systems, Inc. [read post]
16 Jul 2017, 7:49 am
Google, Inc. [read post]
10 May 2018, 3:45 am
Federal Trade Commission (FTC) released for public comment an administrative complaint and proposed consent agreement with mobile phone manufacturer BLU Products Inc. and its owner and president. [read post]
9 Feb 2007, 12:02 pm
Jennifer Shaw and I were Lawrence’s co-counsel, and immediately faced with the question of how we, along with our paralegal, Salimah Karmali, were going to tackle the mountain of discovery….” Mentions: Catalyst Repository Systems, Inc. - web site | Socha Consulting listing CT Summation, Inc. - web site | Socha Consulting listing Dataflight Software, Inc. - web site | Socha Consulting listing Encore Legal Solutions - web site | Socha Consulting… [read post]
22 Jun 2012, 7:48 am
Pursuant to FINRA, this allegedly occurred because Merrill Lynch did not have an adequate supervisory system in place. [read post]
16 Apr 2012, 3:39 pm
This well developed guidance document could serve as an example to other states. [read post]
17 Jan 2021, 9:28 am
Doe I and Cargill, Inc. v. [read post]
21 Nov 2018, 12:00 am
” (SEC Letter to Institutional Shareholder Services, Inc.). [read post]
26 May 2009, 8:50 am
Hasbro, Inc., 1995 U.S. [read post]
1 Apr 2015, 6:29 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm EDI Financial, Inc. [read post]
15 May 2019, 4:26 pm
’s systems for four months. [read post]
14 Mar 2021, 1:12 pm
XL Fleet was formed by a December 22, 2020 merger of Pivotal and XL Hybrids, Inc. [read post]
23 Nov 2015, 1:55 pm
Importantly, LabMD introduced evidence that the day sheets and copies of checks were not electronically stored or maintained on its computer systems. [read post]
16 Mar 2012, 12:05 pm
The Austin Statesman followed up on Tom Barry's piece at Alternet, discussed here, to provide more detail on the outsourcing of Texas border security to a private contractor called Abrams Learning and Information Systems Inc. [read post]
26 Nov 2009, 7:15 pm
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
17 Feb 2022, 4:16 am
With Nebula Enterprise, our engineers have addressed growing IT security and compliance concerns with SaaS reliance, while simultaneously putting the next generation of eDiscovery in the hands of our most capable customers,” said Christopher Weiler, CEO of KLDiscovery Inc. [read post]
11 Oct 2019, 5:09 am
Zhu, formerly registered with PFS Investments Inc. [read post]
8 Dec 2014, 12:01 pm
He is also the Chief Technology Officer of Co3 Systems, Inc. [read post]
