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14 Jun 2021, 5:46 am
This is a significant development after the US Supreme Court’s decision in Cyan, Inc. v. [read post]
27 Jul 2014, 6:00 am
King & Associates, Inc. [read post]
9 Apr 2014, 4:30 am
Judge Hurley of the United States Southern District Court of Florida recently set out what may be the most extensive statement of an insurance broker’s duty under Florida law.1 In Tiara Condominium Association, Inc. v. [read post]
13 Sep 2008, 12:51 am
Action Apartment Association v. [read post]
30 Jul 2014, 11:30 am
In the recent unpublished decision in Applegate Properties, Inc. v. [read post]
23 Aug 2021, 11:16 am
Technology is a double-edged sword—it helps us build community, and can also be used to violate our rights to free speech and to freely associate with each other without government spying. [read post]
4 Feb 2021, 12:30 pm
GWG Holdings Inc. [read post]
1 Jun 2021, 1:29 pm
Riley Securities, Inc. were co-managers for the offering. [read post]
11 Sep 2008, 3:04 pm
Electronic Arts, Inc.. [read post]
12 Jul 2013, 4:22 am
As software upgrades often involve the assistance of outside third parties - business associates - in addition to compliant business associate agreements, covered entities may want to be more specific in the scope of work described in their services agreements about the privacy and security safeguards that will apply in the process of such conversions or upgrades. [read post]
22 Dec 2020, 9:43 am
His previous employers include Wedbush Securities Inc. [read post]
21 Jun 2022, 11:48 am
Eric Nicolassy (Eric Edward Nicolassy CRD# 6244539) is a broker currently registered with Network 1 Financial Securities Inc. [read post]
3 Nov 2018, 2:59 pm
A few months after Friends of Lubavitch, Inc. [read post]
7 Mar 2011, 4:09 pm
The SEC alleges that in 2007, and again in 2008, Treadway used material, non-public information he obtained through his position at D&L to purchase stock in two separate companies prior to the announcement of the acquisition: In June 2007, Treadway purchased securities in Accredited Home Lenders Holding Company, and in May 2008 Treadway purchased securities in CNET Networks, Inc. [read post]
20 Nov 2012, 10:46 am
Schapiro, who was formerly in charge of FINRA, previously known as the National Association of Securities Dealers, Inc., a Self-Regulatory Organization, comprised of and governed by securities broker-dealers, understandably believes that the program is a wonderful success. [read post]
23 Mar 2020, 6:56 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Carl Antaki (Antaki), currently associated with Network 1 Financial Securities Inc. [read post]
27 Apr 2009, 6:45 am
OppenheimerFunds, Inc. is facing a number of class actions, investor claims and investigations by five states into losses associated with its bond funds. [read post]
28 Dec 2018, 9:47 am
Jamison entered the securities industry in 2010 when he became registered as a General Securities Representative through association with Valic Financial Advisors, Inc. in Atlanta, Georgia in August 6, 2010, FINRA states. [read post]
22 Sep 2018, 10:40 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Maccoll (Maccoll), formerly associated with UBS Financial Services Inc. [read post]
17 Dec 2010, 9:00 am
Arbitration – How arbitrators are important After the expansion of the market in the late 1990s and then the "tech stock" decline a little later, the National Association of Securities Dealers, Inc. or the NASD experienced record numbers of arbitration cases. [read post]
