Search for: "Document Security Systems, Inc."
Results 561 - 580
of 2,112
Sorted by Relevance
|
Sort by Date
27 Jan 2012, 6:55 am
Capital Financial Services, Inc. [read post]
14 Apr 2016, 1:54 pm
In explaining the policy as applied to the securities markets, SEC Chair Mary Jo White stated, in October 2013 remarks at the Securities Enforcement Forum: “minor violations that are overlooked or ignored can feed bigger ones, and, perhaps more importantly, can foster a culture where laws are increasingly treated as toothless guidelines. [read post]
28 Nov 2016, 9:12 am
In June 2015, the Office of the Chief Scientist of the Air Force produced a vision document for the integration of autonomous systems into the Air Force over the next 30 years. [read post]
18 Aug 2019, 8:07 am
The sanctions were based on the findings that Tacopino willfully violated Section 10(b) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5 and FINRA Rules 2020 and 2010 and by the same conduct, acted in contravention of Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933 by knowingly or recklessly orchestrating for his own personal benefit a fraudulent stock allocation scheme whereby he placed trades in firm accounts, monitored the performance of the trades… [read post]
26 Feb 2022, 8:54 am
WestPark Capital, Inc. [read post]
6 Sep 2022, 11:29 am
Aerojet Rocketdyne, Inc. [read post]
16 Nov 2018, 12:41 pm
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, or Fined by FINRABrokerbank Securities, Inc. [read post]
6 Dec 2018, 10:41 am
Creaxion proposed a launch campaign for Health Pro Brands, Inc. [read post]
6 Dec 2018, 10:41 am
Creaxion proposed a launch campaign for Health Pro Brands, Inc. [read post]
21 Aug 2022, 9:01 pm
Robust public engagement will be critical—particularly for documenting specific harmful business practices and their prevalence, the magnitude and extent of the resulting consumer harm, the efficacy or shortcomings of rules pursued in other jurisdictions, and how to assess which areas are or are not fruitful for FTC rulemaking. [read post]
23 Nov 2011, 10:03 am
Thus, it is solely in the legislative branch that the constitutional values of an “efficient, safe, secure and high quality” school system can be constitutionally defined and implemented. [read post]
5 Mar 2007, 11:31 am
About AXS-One Inc. [read post]
27 Jan 2020, 3:45 pm
Earlier this month, the Financial Industry Regulatory Authority, Inc. [read post]
30 Jan 2024, 9:50 am
Grace & Company, Inc., Alvin H. [read post]
8 Sep 2019, 7:51 am
Barrios, formerly registered with UBS Financial Services Inc. [read post]
27 Aug 2020, 7:23 am
Moors & Cabot, Inc. [read post]
14 Sep 2013, 10:47 am
Evans Fruit Co., Inc., Case No. 10-CV-3033, 2011 WL 2471749, at *1 (E.D. [read post]
3 Jun 2015, 7:55 am
FINRA’s Acceptance, Waiver and Consent charging and settlement document (“AWC”), and comments by senior FINRA executives last week at FINRA’s annual conference, demonstrate that FINRA’s focus was the failure of Sterne’s supervisory system, not the actions of the individual employee. [read post]
17 Dec 2019, 8:43 am
* * *Norton and Kelly fraudulently secured approximately $2.2 million in contracts to provide critical parts to the U.S. [read post]
15 Apr 2011, 9:05 am
" The Subcommittee conducted over 150 interviews and depositions, and accumulated and reviewed tens of millions of pages of documents. [read post]
