Search for: "Independent Financial Group LLC"
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23 Feb 2012, 9:17 am
Unfortunately, in the absence of such a statute, the common law does not generally recognize Cyberbullying as an independent tort. [read post]
9 Sep 2021, 3:30 am
OTC Link LLC (which is owned by OTC Markets Group, Inc., formerly known as Pink OTC Markets Inc.) is an IDQS, and the old OTC Bulletin Board (which is a facility of FINRA) is an IDQS (FINRA filed with the SEC to shutter the OTCBB back in September 2020, after the SEC adopted the Rule 15c2-11 amendments. [read post]
4 Jul 2018, 11:36 am
From July 2013 to October 2016, Paolucci was registered with American Independent Securities Group, LLC. [read post]
6 May 2014, 4:26 pm
Forman Cybersecurity has increasingly become a critical issue for all types of businesses, few more so than broker-dealers, investment advisers and others in the financial sector. [read post]
6 Dec 2013, 9:04 am
Independence Energy Group LLC, No. 13-1746 (2d Cir. [read post]
22 Jul 2022, 4:00 am
The lawsuit was filed earlier this year on behalf of political donors and third-party organizations known as independent expenditure groups. [read post]
4 Mar 2024, 2:30 am
In siding with the whistleblower, Trevor Murray, the Court rejected UBS Securities, LLC’s position that a finding of retaliatory intent is required for whistleblower protection under SOX, which governs corporate financial reporting and recordkeeping. [read post]
9 Jul 2021, 5:50 am
Securities and Exchange Commission, on Saturday, July 3, 2021 Tags: Accounting, Accounting standards, Disclosure, ESG, Financial reporting, International governance, SEC, Securities regulation, Sustainability Chancery Denies Corwin Cleansing In Light of Process Concerns Posted by Matthew J. [read post]
21 Sep 2023, 9:01 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Susan Block-Lieb, the Cooper Family Chair of Urban Legal Issues at Fordham Law School, argued against criticism that the Consumer Financial Protection Bureau lacks accountability due to its regulatory and financial independence and single-director leadership. [read post]
3 Apr 2018, 6:50 am
The proposed consent judgment against the NCSLT would require an independent audit of all 800,000 student loans in the NCSLT portfolio. [read post]
2 Jan 2019, 4:38 am
Radke first reportedly became registered with FINRA through a FINRA member firm in July 1995 and was registered with various FINRA member firms until October 2018, including American Independent Securities Group, LLC from May 2011 to May 2018, and in October 2018, Radke voluntarily resigned from MML Investors Services, LLC, according to the aforementioned AWC. [read post]
21 Dec 2020, 10:07 am
The Court found that Public Partnerships, LLC (PPL) set rules for a group of Direct Care Workers (DCWs), established their working conditions Copyright: rmarmion / 123RF Stock Photoand maintained their employment records, all indicators of a joint employer relationship. [read post]
8 Apr 2021, 9:53 am
Tatyana Bunich is currently registered with Independent Financial Group, LLC. [read post]
8 Apr 2021, 9:53 am
Tatyana Bunich is currently registered with Independent Financial Group, LLC. [read post]
29 Jun 2012, 4:52 am
The remainder of the ACA, including all reforms of the individual and group insurance markets, remains intact. [read post]
19 Aug 2016, 6:16 am
Gilson, Stanford Law School, Columbia Law School, and ECGI, on Wednesday, August 17, 2016 Tags: Agency model, Corporate forms, Corporate governance, Decision making, Fiduciary duties, Legal systems, Long-Term value, Securities regulation, Shareholder rights, Short-termism, Stakeholders CEO Pay-For-Performance Posted by Ira Kay, Pay Governance LLC, on Wednesday, August 17, 2016 Tags: Agency model, Equity-based compensation, Executive Compensation, Incentives, Management, Pay for… [read post]
30 Mar 2020, 8:15 am
Do not use this information without independent verification. [read post]
28 Jan 2009, 9:40 am
Bayou Group LLC. [read post]
16 Jul 2009, 9:35 am
., which in turn is a subsidiary of American Leisure Group, Limited (a British Virgin Islands corporation). [read post]
16 Apr 2010, 1:27 pm
The accredited, third-party audited certification program has not only been endorsed by Greenpeace USA, the Sierra Club and the Natural Resources Defense Council (NRDC), the Electronics TakeBack Coalition and 68 other environmental organizations but has also drawn the support of major corporate "e-Stewards Enterprises" including: Apollo Group, Inc.; Bank of America; Capitol One Financial Corp.; Ind. [read post]
