Search for: "Connective Licensing, LLC"
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14 Dec 2023, 9:01 am
One of the few things the new law does make clear is that licensed practicing lawyers, medical professionals, and construction contractors are excluded under the law, as are independent “sales representatives. [read post]
8 Dec 2023, 11:11 am
(CRD#: 4517367) reportedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation. [read post]
5 Dec 2023, 10:38 am
Pong reportedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into his Outside Business Activity (OBA). [read post]
30 Nov 2023, 2:02 pm
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
29 Nov 2023, 8:59 am
Curtis reportedly refused to appear for on-the-record testimony in connection with FINRA’s investigation into his potential conversion of funds. [read post]
29 Nov 2023, 7:29 am
Silvestri reportedly refused to appear for on-the-record testimony requested by FINRA in connection to its investigation into whether he borrowed funds from a customer. [read post]
28 Nov 2023, 10:19 am
Properties LLC). [read post]
22 Nov 2023, 11:08 am
(Licensed practicing lawyers, medical professionals, and construction contractors are specifically excluded under the law, as well as “sales representatives,” who are separately covered by Labor Law Section 191-c.) [read post]
15 Nov 2023, 8:55 am
Fagan reportedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into the sale of certain fixed income securities by him. [read post]
10 Nov 2023, 7:44 am
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
6 Nov 2023, 11:00 am
Jodway was licensed through FINRA, but the commission was not paid to his broker-dealer. [read post]
3 Nov 2023, 11:39 am
Clardy LLC. and the newsletter for lawyers, 👀 The Peek: 🚪A Doorway into Wellness. [read post]
2 Nov 2023, 9:04 am
The CTA’s Basic Requirements The CTA requires certain domestic and foreign corporations, LLCs, or other entities to: Report individuals’ BOI to FinCEN, including: Full legal name; Date of birth; Complete current address; Unique identifying number from a U.S. passport, state ID, driver’s license, or non-expired foreign-issued passport; and An image of the identification document from which the unique identifier was obtained. [read post]
1 Nov 2023, 12:38 pm
According to a Letter of Acceptance Waiver and Consent (AWC), Ferruso reportedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation. [read post]
1 Nov 2023, 10:57 am
Many of the allegations are in connection with unsuitable alternative investment recommendations, such as GPB Capital offerings. [read post]
1 Nov 2023, 8:28 am
Smith was reportedly barred after he refused to produce information and documents requested by FINRA in connection with its investigation. [read post]
21 Oct 2023, 1:00 am
This would apply to, for example, a freelancer who wants to maintain a US-registered LLC or someone planning to move to a particular state after spending time abroad. [read post]
10 Oct 2023, 9:01 pm
The Court further cautioned “courts may not license separating students on the basis of race without an exceedingly persuasive justification that is measurable and concrete enough to permit judicial review. [read post]
10 Oct 2023, 11:23 am
DealMaker noted that Issuance’s own terms include a provision that allows Issuance to license its data. [read post]
9 Oct 2023, 12:15 am
See Legislature To Consider Authorizing Real Estate Broker Licenses To LLCs. [read post]
