Search for: "National Association Of Securities Dealers, Inc."
Results 521 - 540
of 728
Sort by Relevance
|
Sort by Date
9 Apr 2015, 4:37 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 Vero Beach, Florida. [read post]
9 Apr 2015, 4:34 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 Vero Beach, Florida. [read post]
3 Apr 2015, 3:31 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]
31 Mar 2015, 5:12 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 Mar 2015, 2:16 pm
(“World Equity”), a broker-dealer, submitted a Letter of Acceptance Waiver and Consent (“AWC”) wherein it agreed to a censure and a $225,000 fine to settle allegations of violations of federal securities law as well as National Association of Securities Dealers (“NASD”) and Financial Industry Regulatory Authority, Inc. [read post]
18 Mar 2015, 6:19 am
Shares of ETFs are typically listed on national exchanges and trade at established market prices. [read post]
13 Feb 2015, 6:42 am
As a result of alleged misconduct by Santos-Buch in 1994, the National Association of Securities Dealers, Inc. (“NASD”) (a self-regulatory organization ("SRO") and predecessor in interest to the Financial Industry Regulatory Authority, Inc. (“FINRA”)), institute... [read post]
29 Jan 2015, 4:07 am
National Institute of Standards and Technology (NIST) published its Framework for Improving Critical Infrastructure Cybersecurity. [read post]
18 Nov 2014, 1:28 pm
.), a case in which I’ve been hired to consult, and which the California Association of Federal Firearms Licensees, The Calguns Foundation, and Second Amendment Foundation are supporting. [read post]
13 Nov 2014, 12:01 pm
Because retail investors tend to purchase securities in smaller amounts, this minimum denomination standard helps ensure that dealer firms sell high-risk securities only to investors who are capable of making sizeable investments and more willing and able to bear the higher risk associated with the bonds. [read post]
11 Nov 2014, 8:45 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]
4 Sep 2014, 3:19 am
SEC Office of Compliance, Inspections and Examinations (OCIE) On April 15, 2014, the OCIE issued a National Exam Program Risk Alert, entitled “OCIE Cybersecurity Initiative,” announcing it would conduct examinations of more than 50 registered broker-dealers and investment advisors “designed to assess cybersecurity preparedness in the securities industry and to obtain information about the industry’s recent experiences with certain types of… [read post]
21 Aug 2014, 3:59 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 Vero Beach, Florida. [read post]
18 Jul 2014, 10:40 am
The National Futures Association (“NFA”) announced that effective on June 1, 2014 it will impose a $1,000 late fee when a firm or individual does not disclose a disciplinary matter upon registration or fails to promptly update an existing registration to disclose a new disciplinary matter. [read post]
20 Jun 2014, 8:09 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
5 Jun 2014, 11:52 am
At that time, he was barred from association with any firm affiliated with National Association of Securities Dealers (NASD) which has since become FINRA. [read post]
25 Apr 2014, 6:30 am
The other ther firms included Ameriprise Financial Inc., Lincoln National, Commonwealth Financial Network, Royal Alliance Associates, and Securities America. [read post]
8 Apr 2014, 3:45 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]
3 Apr 2014, 6:07 am
In 2006 through July 2007, Lee was associated with National Securities Corporation. [read post]
20 Mar 2014, 9:54 am
Hauser First Allied Securities, Inc.; Morris C. [read post]
