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8 Aug 2019, 6:31 am by Joel R. Brandes
It noted that in 2011, the Association of Administrators of the Interstate Compact on the Placement of Children (AAICPC), the official body charged with implementing the ICPC, amended Regulation 3(2)(a) to extend the statute=s reach to include placements with out‑of‑state noncustodial parents. [read post]
6 Aug 2019, 3:09 pm by Kevin LaCroix
Make no mistake: vendors, partners, business associates, and other third parties whose outsourced operations become integrated within a company, can pose a challenging and existential cybersecurity threat to operations. [read post]
30 Jul 2019, 11:35 am by admin
  Booth then, on February 14, 2018, due to an acquisition, became registered with LPL Financial LLC in Norwalk, CT as a GSR, IR, GP, and IP, and was subsequently was terminated as a result of LPL’s aforementioned investigation, FINRA notes. [read post]
30 Jul 2019, 11:35 am by admin
  Booth then, on February 14, 2018, due to an acquisition, became registered with LPL Financial LLC in Norwalk, CT as a GSR, IR, GP, and IP, and was subsequently was terminated as a result of LPL’s aforementioned investigation, FINRA notes. [read post]
10 Jul 2019, 8:37 am by Rebecca Tushnet
And defendants reserve the right to terminate Ambassadors’ accounts for unapproved conduct. [read post]
10 Jul 2019, 4:17 am by Hedge Fund Lawyer
  This will involve a “hard fork” to the Blockstack network and its associated risks. [read post]
8 Jul 2019, 8:12 am by Staff Attorney
  Siegel is formerly employed by Portfolio Advisors Alliance, LLC (Portfolio Advisors). [read post]
1 Jul 2019, 7:03 am by Staff Attorney
According to BrokerCheck records financial advisor Mark Kolta (Kolta), currently employed by Worden Capital Management LLC (Worden Capital) has been subject to at least 14 customer complaints and one employment termination for cause. [read post]
1 Jul 2019, 7:02 am by Staff Attorney
  From March 2014 until June 2015 Bourgeois was registered with LPL Financial LLC. [read post]
25 Jun 2019, 7:23 am by Staff Attorney
  From November 2008 through March 2014 Bourne was associated with Oppenheimer & Co. [read post]
24 Jun 2019, 7:44 pm by Kevin LaCroix
Halliburton Co.[3] The claimed market capitalization losses associated with the cohort of alleged stock price declines that exhibit a verifiable absence of indirect price impact at the 95% confidence standard, amounts to $36.8 billion.[4] Data and analysis indicate that 33 securities class action complaints filed in the last 12 months contain at least one alleged stock price drop that does not surpass the standards of indirect price impact. [read post]
22 Jun 2019, 7:14 am
Posted by Rachel Fridhandler, Sidley Austin LLP, on Saturday, June 22, 2019 Editor's Note: Rachel Fridhandler is an associate at Sidley Austin LLP. [read post]
21 Jun 2019, 12:53 pm by Staff Attorney
  From October 2012 through December 2013 Woods was associated with Meyers Associates, L.P – brokerage firm that was expelled from the industry for multiple regulatory compmlaints and unethical dealings. [read post]
21 Jun 2019, 8:30 am by Public Employment Law Press
As a result of our examination, the employee was terminated, arrested, pled guilty to petit larceny (a Class A misdemeanor) and is required to make restitution to the state.Port Authority of New York and New Jersey (PANYNJ): Selected Aspects of Leasing Practices for Real Estate Services Department and Port Commerce (2017-S-58)The PANYNJ did not always accurately account for its leases. [read post]
16 Jun 2019, 10:20 am by Staff Attorney
  From November 2008 through March 2014 Block was associated with Oppenheimer & Co. [read post]
11 Jun 2019, 9:29 am by Staff Attorney
  Since June 2014 Kinsman has been associated with Wells Fargo out of the firm’s Staten Island, New York office location. [read post]