Search for: "Cooper Industries"
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19 May 2014, 4:42 am
” Thereafter, Francisco failed to properly respond and cooperate with FINRA’s investigation and was subsequently barred from the industry. [read post]
2 Mar 2011, 8:22 pm
Specifically, Verduga stated, “[w]e hope the health care industry will take a close look at this [Mass General Resolution] agreement and recognize that OCR is serious about HIPAA enforcement. [read post]
6 Feb 2007, 3:44 am
The circuit courts have divided on that issue since Cooper Industries was decided. [read post]
8 May 2007, 7:02 am
While cooperation among brokers through a multiple listing service can provide consumers with important efficiencies, cooperation used to adopt rules that hinder rivals can be anticompetitive and, as recent agency actions indicate, may violate the antitrust laws. [read post]
27 May 2014, 5:34 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Jeffrey Schrader (Schrader) concerning allegations that the broker engaged in private securities transactions and failed to cooperate with FINRA’s investigation. [read post]
2 Jul 2009, 8:20 am
The public-private meeting, held June 29-30 at the Department of Energy Headquarters in Washington, DC, brought together industry and government leaders to expand bilateral clean energy cooperation. [read post]
26 Sep 2007, 10:05 pm
Some colleges have cooperated, forwarding the RIAA letters to the students, some have not. [read post]
4 Dec 2014, 10:32 am
Without admitting or denying the findings, Rogers consented to the sanction and to the entry of findings that he failed to cooperate with a FINRA investigation by not appearing for testimony. [read post]
15 Jan 2016, 12:04 pm
Daniel George Kasbar (CRD #5869994, Cooper City, Florida) recently submitted an AWC in which he was barred from association with any FINRA member in any capacity. [read post]
30 Jul 2013, 7:54 am
They provide a framework for supervisory cooperation and exchange of information between the SEC and the EU/EEA member state national regulators in the asset management industry, as part of a long-term strategy to improve the oversight of entities in the industry that operate across national borders. [read post]
7 Aug 2015, 8:29 am
Ham entered the securities industry in 1988. [read post]
29 Jul 2018, 1:46 pm
Knee entered the securities industry in 1988. [read post]
5 Nov 2023, 7:25 pm
(North Carolina's Democratic governor, Roy Cooper, announced he’d let the budget become law without his signature because it also included Medicaid expansion, a cause he and other Old North State Democrats had sought for a long time.) [read post]
10 Dec 2010, 8:12 pm
Many industries rely on standardization agreements that define technical or quality requirements for products or production processes, services or methods. [read post]
6 Oct 2010, 1:54 pm
By John Cooper, FELA Lawyer My colleague Rick Shapiro has a new post on our main website about how railroads such as Norfolk Southern, Conrail, and CSX still won’t own up to the problem of asbestos-induced mesothelioma and other industrial diseases among railroad workers. [read post]
6 Feb 2009, 4:59 am
Frankly, the U.S. automakers can be forced to become the leaders in zero emissions technology and thereby revive their otherwise moribund industry. [read post]
2 Sep 2013, 1:46 pm
Goedeke did not cooperate with FINRA’s investigation concerning customer’s claims of theft. [read post]
23 Jan 2023, 6:59 am
That makes bipartisan cooperation necessary. [read post]
21 Nov 2006, 12:44 am
Asking industry for advice. [read post]
8 May 2019, 3:53 pm
Rather, its aim is to shed light on the legislative context and state of the ‘creative industries’ at the time modern copyright came into being in the UK. [read post]
