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7 Nov 2013, 3:26 am
In today's Broke And Broker Blog, we have the case of a broker who may have asked his sales assistant to go just a little too much above and a little too far beyond.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Thomas S. [read post]
25 Apr 2015, 4:21 am
Lannert, Thomas M. [read post]
2 Jul 2014, 11:58 am
I send a special thanks to Attorney Matt Keris, current PDI President, as well as Attorney Thomas McDonnell for suggesting my name in the first place. [read post]
2 Sep 2014, 5:58 am
Miles Kirkland-Thomas was a 6.2 feet and 321 pounds defensive tackle. [read post]
24 Mar 2014, 7:39 am
It includes Judges Thomas Griffith (a George W. [read post]
21 Aug 2018, 1:30 am
The Hennepin County Attorney has charged (and here) Thomas James Houck, 61, with criminal assisted suicide. [read post]
21 Jul 2017, 6:52 am
Farrar, Louis Gloria, and Thomas M Gahan, Defendants (Complaint for Injunctive and Other Relief, United States District Court for the District of Connecticut, 17-CV-0093 / June 16, 2017), Plaintiff UBS asserted that its former advisors had engaged in:(a) Breach of the non-solicitation and non-disclosure provisions contained in multiple agreements defendant Fiore signed during his UBS employment; (b) Breach of the non-solicitation provisions contained in the UBS Financial Advisor Team… [read post]
21 Sep 2018, 8:51 am
SEC Obtains Final Judgment Against Investor Relations Writer Charged with Fraudulent Stock Promotion Scheme(SEC Litigation Release No. 24280)https://www.sec.gov/litigation/litreleases/2018/lr24280.htmThe United States District Court for the Southern District of New York entered a final judgment against Thomas Meyer ordering him to pay disgorgement plus interest of $41,185.29 and a penalty of $20,000. [read post]
10 Aug 2021, 6:45 am
An urgent message to those (presuming literacy and a minimal capacity for human agency) who refuse—sans any medical warrant, that is, a sufficient reason—to be vaccinated during the COVID-19 pandemic The exercise of your liberties and freedom are constrained (justifiably or necessarily limited) at the point where they interfere with, block, or diminish the equivalent exercise of these same liberties and freedom by others (this falls under what the English philosopher Thomas… [read post]
7 Dec 2015, 2:06 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Thomas J. [read post]
2 Nov 2015, 9:34 am
Harvie Wilkinson III and Justice Clarence Thomas. [read post]
25 Sep 2017, 7:28 am
In any event, as a recent regulatory settlement shows, FINRA is in bed between a registered and unregistered spouse.Case In PointIn response to the filing of a Complaint on July 27, 2017, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Thomas Lawrence submitted an Offer of Settlement dated September 18,... [read post]
18 Feb 2019, 3:08 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Thomas J. [read post]
21 Feb 2020, 1:29 am
See what you think.Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Thomas M. [read post]
17 Sep 2018, 7:48 am
In this respect, the book deserves to be read with Listen Liberal by Thomas... [read post]
17 Aug 2014, 2:21 am
Thomas VandammeHelping Loose Ends Meet? [read post]
30 Nov 2018, 6:06 am
Walters, Defendant/Appellant and Thomas C. [read post]
30 Apr 2013, 11:51 am
Thomas G. [read post]
27 Aug 2016, 9:17 pm
Doris Johnson Hines and Thomas L. [read post]
1 Aug 2014, 1:47 pm
[Thomas Barry Solicitors] * In New York, an appellate court upheld a decision requiring a bank to forfeit interest and attorney fees for dragging out a foreclosure settlement conference through 18 court dates spanning 16 months. [read post]
