Search for: "National Association Of Securities Dealers, Inc."
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15 Jul 2016, 12:44 pm
The parties agreed to the judgment without admitting or denying the allegations.Furthermore, the SEC permanently has barred Weiss from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. [read post]
16 Jun 2016, 2:48 pm
According to the SEC: The federal securities laws require registered broker-dealers and investment advisers to adopt written policies and procedures reasonably designed to protect customer records and information. [read post]
23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New… [read post]
29 Apr 2016, 2:20 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 1:39 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 1:32 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 12:36 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 12:30 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 12:23 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
13 Apr 2016, 8:44 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
12 Apr 2016, 3:50 pm
The Department has taken an approach to defining “recommendation” that is consistent with and based upon the approach taken by the Financial Industry Regulatory Authority (FINRA), the independent regulatory authority of the broker-dealer industry, subject to the oversight of the Securities and Exchange Commission (SEC). [read post]
14 Mar 2016, 2:56 am
In Hantz Financial Services, Inc. v. [read post]
2 Mar 2016, 4:26 pm
For years, cryptologists and national security experts have been warning against weakening encryption. [read post]
29 Feb 2016, 10:23 am
Grom (“Grom), a Deutsche Bank Securities, Inc. [read post]
16 Feb 2016, 6:00 am
One example is the conviction he secured in the case of People v. [read post]
13 Jan 2016, 5:05 pm
For instance, after suffering a cyber-attack, a corporation must not only bear the substantial regulatory and litigation costs associated with potential privacy violations – that is just the tip of the iceberg. [read post]
8 Jan 2016, 2:53 pm
Cervino a resident of Clifton, New Jersey, has been associated with several registered broker-dealers over the past decade. [read post]
4 Jan 2016, 8:33 am
Brokerage Firms & Brokers Success Trade Securities, Inc. and Fuad Ahmed. [read post]
28 Dec 2015, 2:51 am
District Judge Colleen McMahon rejected Sirius’ arguments that Flo & Eddie Inc, controlled by founding band members Howard Kaylan and Mark Volman, did not own copyrights in The Turtles’ recordings or that Sirius had an “implied” license to play Turtles' songs. [read post]
