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16 May 2019, 5:38 am
The findings stated that FINRA was investigating allegations of excessive trading and unsuitable recommendations involving the use of margin, whether Aziz attempted to settle a customer’s complaint away from his firm, and whether he used an undisclosed personal email account and text messages to conduct securities business, among other allegations. [read post]
24 Jan 2024, 1:47 pm
Cadaret, Grant & Company – FINRA Broker Dealer Cadaret, Grant & Company, Inc. [read post]
2 Feb 2018, 8:57 am
Like the $2.3 million HIPAA resolution agreement OCR announced with now bankrupt radiation oncology and cancer care provider 21st Century Oncology, Inc. (21CO) earlier this year, see, e.g. [read post]
27 Apr 2022, 12:56 pm
If a broker or brokerage firm fails to comply with this requirement, then industry regulators can use FINRA Rule 9554 to take immediate enforcement action against them. [read post]
9 Feb 2018, 1:02 pm
Prestige Entertainment, Inc., No. 17-07232 (C.D. [read post]
29 Jan 2010, 10:54 am
A January 29, 2010 study commissioned by McAfee, Inc and authored by the Center for Strategic and International Studies (CSIS) reports that over one-third (37%) of the IT security executives surveyed believe that critical infrastructure such as electrical grids, oil and gas production, water supply, telecommunications and transportation networks has become increasingly vulnerable to a cyberattack. [read post]
1 Oct 2009, 5:03 pm
With the increasing rise of cyber theft, sooner or later a client may come to you and ask what they can do about it.The Patco bank's claims of sophisticated "behind the scenes" security measures and computer programs didn't do much good to stop cyber thieves who dipped not only into Patco's accounts, but did so repeatedly, transferring money to accounts that Patco had never used before, and from internet addresses that Patco had never used before… [read post]
24 Nov 2021, 8:01 am
Securities and Exchange Commission: S-1 Registration Statement for KLDiscovery, Inc. [read post]
27 Feb 2015, 1:35 pm
The very first Supreme Court victory for LGBT people came about during this period when the court ruled in One, Inc. v. [read post]
20 Jun 2012, 4:23 am
Warner Commc’ns, Inc., 435 U.S. 589, 597 (1978) (“It is clear that the courts of this country recognize a general right to inspect and copy public records and documents, including judicial records and documents. [read post]
9 May 2008, 1:39 am
Case Name: PBS Enterprises, Inc. v. [read post]
19 Sep 2014, 1:35 pm
The false tax returns, which exaggerated Scarfo’s fiancée’s income so that she could qualify for the mortgage without naming Scarfo, were used to secure the mortgage. [read post]
22 Oct 2012, 1:29 pm
FINRA announced that it ordered David Lerner Associates, Inc. [read post]
1 Sep 2011, 11:58 am
For more information or a free evaluation of your claim contact us toll-free at (877) SEC-ATTY or visit us at www.securitiesarbitrations.com. [read post]
7 Aug 2014, 7:20 am
” • Gun violence: It can happen at what appear to be the most secure places in the world, and it can happen to the most innocent among us. [read post]
20 Nov 2013, 7:00 am
See Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Nextflix Inc., and Reed Hastings, Release No.34-69279 is reported at ¶80,253. [read post]
25 Feb 2010, 6:30 am
Cuomo announced an agreement with Toyota Motor Sales USA, Inc. [read post]
6 Feb 2007, 3:25 pm
Jobs goes on to explain that Apple has refused to license its Fairplay DRM system because doing so would make the scheme less secure. [read post]
18 Mar 2010, 7:21 pm
” According to the 28 count indictment, Moe and Milton Tillman operated 4 Aces Bail Bonds, Inc. (4 ACES) with offices at 2332 E. [read post]
15 Feb 2023, 10:51 am
Enlarge (credit: Tom Williams / Contributor | CQ-Roll Call, Inc.) [read post]
