Search for: "John B. Scott"
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14 Aug 2007, 2:42 pm
Clark (Harvard); John C. [read post]
26 Apr 2010, 11:37 am
John J. [read post]
7 Jan 2019, 8:10 am
John Scott Simoncic (CRD #1062932, Carlsbad, California) Without admitting or denying the findings, Simoncic consented to the sanction and to the entry of findings that he willfully violated Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 promulgated thereunder, and violated FINRA Rules 2020, 2111 and 2010 by churning customer accounts, engaging in excessive trading and making unsuitable recommendations involving transactions in non-traditional… [read post]
7 Mar 2012, 8:35 am
It's signed by John L. [read post]
3 Aug 2020, 1:20 pm
(CRD# 468), John Hancock Mutual Life Insurance Company (CRD# ), Securities America, Inc. [read post]
2 Apr 2014, 10:02 pm
Scott Austin. [read post]
20 Oct 2017, 6:12 am
Frederick, John Quincy Adams, Slavery, and the Disappearance of the Right of Petition, 9 Law & History Review 113 (1991) • Jonathan R. [read post]
28 Oct 2010, 1:12 pm
Scott Garrett of New Jersey, who has sought to reduce SEC funding and sponsored an amendment to exempt small issuers from the auditor attestation requirement of Section 404(b) of Sarbanes-Oxley Act.The Senate Banking Committee, which oversees the SEC and financial matters, also will have a new leader. [read post]
19 Oct 2021, 8:48 am
• Scott R. [read post]
6 Jan 2015, 6:46 pm
Thomas Anthony Niedwiecki LawProfAnt John Marshall (Chicago) Sean Nolon snolon Vermont Tracy Norton millennialprof Touro Tracy Norton profnorton Touro Beth Simone Noveck bethnoveck NYLS Rory O'Connell rjjoconnell Queens University Belfast Shuyi Oei ShuyiOei Tulane Paul Ohm paulohm Colorado David Opderbeck dopderbeck Seton Hall Lisa Ouellette PatentScholar Stanford Kevin Outterson koutterson Boston University Jessica Owley JessicaOwley Buffalo Frank Pasquale FrankPasquale Seton Hall… [read post]
8 Oct 2010, 2:14 pm
Amar.Oakley, John B. [read post]
18 Jan 2017, 12:01 am
Scott in the movie “Dr. [read post]
23 Nov 2010, 10:23 am
Salzburg, Wyoming Attorney General; John W. [read post]
2 Nov 2017, 8:23 am
So, credit is due to FCSL’s Dean Scott DeVito and JM’s Dean Malcolm Morris for prompt disclosure. [read post]
29 Sep 2011, 4:30 am
In this state law class action, the controversy concerned a warranty on a battery which the plaintiff, Scott McMahon, purchased from Advance Auto Parts (“APP”) in West Virginia, and which he subsequently sold to the plaintiff, Karen John. [read post]
14 Mar 2007, 11:51 am
Alderman, Richard B. [read post]
26 Oct 2011, 4:30 am
Kramer, Scott L. [read post]
21 Sep 2009, 12:38 pm
Or, b) wait until a prescribed time (I believe Jan 1) to announce. [read post]
17 Nov 2009, 7:40 am
, BY John Marzulli JUDGES (91%); CRIMINAL CONVICTIONS (90%); INVESTIGATIONS ( ... ... [read post]
14 Jun 2019, 6:18 am
., on Sunday, June 9, 2019 Tags: Extraterritoriality, SEC, SEC enforcement, Section 10(b), Section 17(a), Securities Act, Securities regulation, U.S. federal courts Ten Years of Say-on-Pay Data Posted by Terry Newth and Dean Chaffee, Pearl Meyer & Partners, LLC, on Sunday, June 9, 2019 Tags: Compensation committees, Engagement, Executive Compensation, Institutional Investors, Management, Proxy… [read post]
