Search for: "National Association Of Securities Dealers, Inc."
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6 Dec 2011, 9:07 am
As such, Collantes violated National Association of Securities Dealer Rule 3010 on supervision and Rule 2110 on standards of commercial honor and principles of trade. [read post]
3 Apr 2014, 6:07 am
In 2006 through July 2007, Lee was associated with National Securities Corporation. [read post]
8 May 2024, 7:20 pm
., (CRD#: 249/SEC#: 801-887,8-4077) headquartered in New York, New York, is a national financial advisory firm. [read post]
10 Apr 2017, 6:17 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]
13 Jul 2023, 12:22 pm
” Between December 2017 and June 2019, while associated with National Securities Corporation (NSC) (CRD No. 7569), Eugene Kim allegedly engaged in unethical conduct, acted in bad faith, and misused customer funds in connection with a private offering sold by NSC, according to FINRA’s complaint. [read post]
28 Dec 2020, 12:16 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
7 Dec 2017, 7:32 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
4 Mar 2010, 3:44 pm
An arbitration panel at the National Association of Securities Dealers (NASD) awarded Claus $25,000 in compensatory damages and $70,000 in attorney’s fees directly to Fallick. [read post]
27 Apr 2022, 7:57 am
Financial Services Inc. [read post]
15 Nov 2021, 10:39 am
About McGuireWoods’ Broker-Dealer and Investment Adviser Team Our Broker-Dealer and Investment Adviser team includes members of our nationally-recognized Financial Services Litigation Department, our elite Government Investigations and White Collar Litigation Department, former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors. [read post]
20 Mar 2020, 7:06 am
Carey Inc. [read post]
11 Jan 2012, 6:00 am
” The Financial Industry Regulatory Authority (otherwise known as “FINRA”) is the product of a 2007 merger between the NYSE’s former enforcement arm and the National Association of Securities Dealers (NASD). [read post]
6 Feb 2020, 11:07 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
24 Mar 2009, 1:48 am
National Association of Securities Dealers Inc., defendants-appellants
NEW YORK COUNTYCriminal PracticeCourt Denies Motion to Quash AG's Subpoena Seeking List of Merrill Lynch Bonus Recipients People v. [read post]
5 Apr 2023, 7:14 pm
This rule requires broker-dealer firms to establish and maintain a system to supervise the activities of their associated persons (e.g., brokers) to ensure that they comply with securities laws and regulations. [read post]
8 Feb 2012, 1:51 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
7 May 2010, 11:37 pm
However, Securities Fraud Lawyer William Shepherd considers Shapiro’s statement “strange,” especially as it was “made by someone who, prior to taking over at the SEC, was in charge of the National Association of Securities Dealers, Inc (now called the Financial Industry Regulatory Authority). [read post]
11 Apr 2017, 11:09 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]
27 Jan 2020, 3:45 pm
BI imposes a number of disclosure and other obligations on broker-dealers and natural persons associated with broker-dealers if they make recommendations to retail customers. [read post]
3 Dec 2021, 1:40 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
