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3 Sep 2015, 8:35 am
A FINRA arbitration panel ordered UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. [read post]
10 Jun 2019, 6:57 am
According to BrokerCheck records financial advisor Dana Hawkins (Hawkins), currently employed by Centaurus Financial, Inc. [read post]
13 Sep 2010, 1:04 am
The shares of SinoCoking Coal and Coke Chemical Industries Inc. [read post]
6 Dec 2010, 10:45 am
" "Browser vendors should have fixed this a long time ago," said Jeremiah Grossman, an Internet security expert at WhiteHat Security Inc., which wasn't involved in the study. [read post]
14 Nov 2023, 9:01 pm
Regulators routinely use these records to police prohibited short selling activity. [read post]
13 Jun 2019, 12:09 pm
A Tennessee District Court recently ruled in Wachter Inc. v. [read post]
22 Nov 2010, 12:50 pm
Countrywide Home Loans, Inc. [read post]
27 May 2011, 8:47 am
Mathis frequently used his discretionary authority to liquidate traditional investments from various client portfolios and used the funds to purchase shares of J.C. [read post]
29 Jun 2016, 6:48 am
In denying plaintiff’s request, the Court found that ETE did not materially breach its contractual obligations by failing to use “commercially reasonable efforts” to secure the required 721 Opinion. [read post]
24 Jul 2013, 6:26 am
KBR secured an indefinite delivery and indefinite quantity contract to provide global logistical services to the Army in 2001. [read post]
7 Jun 2012, 4:11 pm
The Court of Appeals made short work of that argument in Shoney's, Inc. v. [read post]
14 Nov 2006, 4:31 am
This distinction, however, has never troubled us. [read post]
16 Sep 2010, 7:53 am
In a related civil case, the Securities and Exchange Commission estimated Shapiro received approximately $900 million from new investors and used $769 million of those funds to pay the so-called returns to earlier investors. [read post]
10 Oct 2017, 4:35 am
Employees should only use data in ways that will keep customer identity and the confidentiality of information secure. [read post]
26 May 2022, 1:53 pm
(“Sycamore”) merger forming Nine West Holdings, Inc. [read post]
7 Nov 2012, 11:09 am
The case, In re Zappos.com Inc., Customer Data Security Breach Litigation, 2012 WL 4466660 (D. [read post]
3 Apr 2012, 6:34 pm
©2012 Amaxx Risk Solutions, Inc. [read post]
10 Nov 2010, 8:30 am
and Elizabeth Sacksteder of Citigroup Inc. [read post]
12 Sep 2024, 12:15 am
Collector's Coffee Inc., No. 19 CIV. 4355 (VM), 2021 WL 3082209 (S.D.N.Y. [read post]
1 Mar 2011, 10:40 am
In this case, WAMU bank's broker affiliate was WAMU Investments Inc., which later became Chase Investment Services LLC. [read post]
