Search for: "Cooper Financial, LLC"
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26 Oct 2015, 9:58 am
The driver of the Prius remained on the scene and has cooperated with the police investigation, which is still ongoing. [read post]
7 Oct 2015, 6:24 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Financial advisors may find themselves to be the subject of a FINRA investigation conducted pursuant to FINRA Rule 8210. [read post]
2 Oct 2015, 2:15 pm
– $100,000 PNC Capital Markets LLC – $500,000 Prager & Co., LLC – $100,000 Ross, Sinclaire & Associates, LLC – $220,000 UBS Financial Services, Inc. [read post]
2 Oct 2015, 9:01 am
Rodríguez-Reyes joined Ferraiuoli LLC is a Senior Associate. [read post]
28 Sep 2015, 2:10 pm
In 2014, for instance, a DOL investigation resulted in Shell Oil Co. and Motiva Enterprises LLC, which markets Shell gasoline and other products, agreeing to pay $4,470,764 in overtime back wages to 2,677 current and former chemical and refinery employees to settle DOL charges that the companies violated FLSA overtime provisions by not paying workers for the time spent at mandatory pre-shift meetings and failing to record the time spent at these meetings. [read post]
2 Sep 2015, 4:07 am
Western Sky Financial LLC (N.C. [read post]
1 Sep 2015, 7:47 am
Western Sky Financial, LLC, 2015 NCBC 84 has a little bit of everything in it: choice of law, the U.S. [read post]
11 Aug 2015, 6:27 am
According to FINRA BrokerCheck records Kenney has disclosed that he operates as a LPL Financial LLC (LPL Financial) broker under the DBA Frank Kenney Wealth Management in Calhoun, Georgia. [read post]
7 Aug 2015, 6:00 am
SEC Tries Flipping Witnesses by Jean Eaglesham in the Wall Street Journal The SEC touts the cooperation program as a vital source of testimony for enforcing against financial wrongdoing. [read post]
21 Jul 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred David Chu (Chu) concerning allegations Chu refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities and private securities transactions. [read post]
13 Jul 2015, 6:14 am
To the extent you’ve tried to be civil, almost cooperative with the Grand Inquisitor, your efforts are not appreciated. [read post]
3 Jul 2015, 6:20 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
25 Jun 2015, 1:29 pm
The cases were brought against the firms under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. [read post]
24 Jun 2015, 9:10 am
We will cooperate with the investigation into this matter. [read post]
24 Jun 2015, 8:28 am
Rogers apparently consented to a bar from the securities industry was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for failing to cooperate in FINRA’s investigation into Mr. [read post]
22 Jun 2015, 2:30 am
This is a significant development insofar as it adds additional administrative and financial burdens on H-1B employers. [read post]
4 Jun 2015, 8:57 am
Kitchen said: “The investing public should take notice that the cooperation among federal law enforcement agencies, including IRS Criminal Investigation, the Postal Inspection Service and the U.S. [read post]
16 May 2015, 2:44 pm
Technically he and his SAMARA PORTFOLIO MANAGEMENT LLC are legally distinct. [read post]
14 May 2015, 3:29 pm
Gawker Media, LLC). [read post]
11 May 2015, 2:12 pm
Clarity Digital Group, LLC, No. 14-00467 (D. [read post]
