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19 Dec 2022, 4:49 am
Upon its review of the trust instruments and the original operating agreement put in evidence, the trial court had no trouble concluding that: William had sole authority as trustee on behalf of the trusts following the Surrogate’s suspension of Barbara’s powers to act as co-trustee. [read post]
13 Sep 2018, 9:16 am
He was previously suspended, but did not respond to request termination of his suspension within the three-month time frame. [read post]
21 Dec 2015, 7:05 am
Race” by Grant Smith and Emily Flitter for Reuters New York: “Court Hears Arguments in High-Stakes ‘LLC Loophole’ Case” by Bill Mahoney for Capital New York New York: “Reforms to City Campaign Finance System Advance Ahead of 2017 Election Cycle” by Samar Khurshid for Gotham Gazette Ethics “Defense Secretary Conducted Some Official Business on a Personal Email Account” by Michael Schmidt for New York Times Alabama: “Alabama Mayor,… [read post]
15 Apr 2015, 10:24 am
The permit suspension was lifted April 8, and the winery is now operating under a 30-day risk management plan that required fixing some equipment and compliance issues. [read post]
26 Jan 2021, 4:42 pm
In addition to imposing a two-month suspension, FINRA also fined Mr. [read post]
8 May 2018, 10:17 am
In one case, a suspension was prepared for a four-month-old infant, which should have been prepared as a 7-mg/mL suspension, given at 1.4 mL per dose. [read post]
21 May 2019, 9:05 am
Prior to its suspension, the account had 2.8 million followers. [read post]
5 Sep 2012, 10:39 am
A 2 year driver’s license suspension. [read post]
27 Nov 2023, 1:49 pm
Suhre & Associates, LLC – Dayton 130 West Second Street #17-129 Dayton, OH 45402 [read post]
9 Apr 2010, 10:38 am
A first-time Maryland DUI conviction may entail: A license suspension or revocation. [read post]
16 Jun 2020, 7:14 am
FINRA Rule 9554 allows for expedited suspension or cancellation of membership of any party that fails to comply with a FINRA arbitration award. [read post]
27 Dec 2021, 7:12 am
Voyager Capital Management, LLC Jude Colangelo Wells Fargo Securities, LLC UBS Securities LLC Derek D’Alonzo Ameriprise Financial Services, LLC SunTrust Advisory Services, Inc. [read post]
25 Apr 2023, 8:55 am
These charges can have harsh penalties in Pennsylvania, from license suspension to time in jail. [read post]
31 Mar 2016, 5:57 am
It should be noted that failure to comply with these Procedures may have negative effects on the listed JSC and could potentially lead to the suspension of trade in its shares or its delisting. [read post]
23 Jun 2023, 2:23 pm
The White Law Group reviews the regulatory history of FINRA registered broker-dealer, Joseph Gunnar & Company LLC. [read post]
12 Dec 2022, 7:25 am
At this writing, Michael Venturino is still registered and employed with Spartan Capital Securities, LLC (CRD#: 146251) of Garden City, NY. [read post]
16 Dec 2019, 7:31 am
According to BrokerCheck records, Stokes is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial). [read post]
18 Jul 2008, 2:34 pm
" In Bennington Foods LLC v. [read post]
22 Apr 2019, 7:38 am
A recent pair of SEC enforcement Orders against registered investment adviser Talimco, LLC and its Chief Operating Officer Grant Rogers highlight the need for advisers to be ever-mindful of their fiduciary duties to both clients when effecting cross trades between such clients. [read post]
4 Apr 2022, 8:55 am
FINRA imposed a $5,000 fine and a 30-day suspension from association with any FINRA member in any capacity. [read post]
