Search for: "David Fine" Results 41 - 60 of 6,383
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12 May 2020, 8:21 am by Renae Lloyd
Broker David Weisberg, Worden Capital Management in New York, NY  According to public records on the Financial Industry Regulatory Authority (FINRA) website, David Weisberg was reportedly suspended from associating with any FINRA member for 11 months and sanctioned with a fine of $7,500.00, plus disgorgement of $75,638.00. [read post]
21 Dec 2010, 2:29 am by admin
The sawmilling firm would have received a fine of £30,000 but for an early guilty plea. [read post]
8 Sep 2016, 6:00 am by Michael Leach
David Michaels, Assistant Secretary of Labor for OSHA, has said: “Making a living shouldn’t have to cost you your life. [read post]
24 Jun 2021, 9:29 am by Dan Bressler
” “The tribunal’s executive counsel also recommended that David Costly-Wood, an ex-KPMG partner who worked on the sale, face a personal fine of at least 500,000 pounds and be stripped of his membership of the Institute of Chartered Accountants in England and Wales for 15 years. [read post]
23 May 2014, 10:01 am by Breakstone, White & Gluck
Attorney David White of Breakstone, White & Gluck appeared on Fox 25 TV in Boston last week to discuss the fine, GM's recent bankruptcy proceedings and his thoughts about handling recall notices. [read post]
8 Oct 2013, 4:36 am by Charles Sartain
Posted by Charles SartainBy Jim Reed and David Leonard The Fifth Circuit has taken steps to fine-tune the interpretation and implementation of the agreement BP negotiated to settle its massive liabilities arising from the April 2010 oil spill following the explosion of the Deepwater Horizon. [read post]
4 Apr 2022, 8:55 am by Silver Law Group
FINRA imposed a $5,000 fine and a 30-day suspension from association with any FINRA member in any capacity. [read post]
20 Dec 2016, 7:01 am
In the AWC, Houlihan Capital was censured and fined $25,000,$5,000 of which was joint and several with Andrew David Smith, the firm’s president, chief compliance officer (CCO) and part-owner. [read post]
26 Mar 2014, 12:19 pm by Barbara S. Mishkin
    The CFPB has taken aim at fine print when describing its mission and suggested that the use of fine print could potentially be challenged by the CFPB as an unfair, deceptive, or abusive practice. [read post]
24 Jul 2014, 1:30 pm
Have you seen SwedelsonGottlieb Senior Partner David Swedelson present his Playing by the Rules seminar yet? [read post]
22 May 2018, 2:50 pm by Legal Profession Prof
The Colorado Presiding Disciplinary Judge approved a sanction The Presiding Disciplinary Judge approved the parties’ conditional admission of misconduct and suspended Rusty David Miller (attorney registration number 42495) for ninety days, all to be stayed upon the successful completion of... [read post]
29 May 2014, 5:30 am by Kori Shafer-Stack
David Michaels, assistant secretary of labor for occupational safety and health. [read post]
  In 2004, the NASD fined David Lerner Associates for sales contests that promoted certain proprietary mutual funds, variable annuity, and variable life insurance products. [read post]
22 Jul 2010, 6:31 am
On 9 July 2010, the Financial Services Authority (FSA) fined David Head £10,500 for putting customers at risk of receiving unsuitable advice on Payment Protection Insurance (PPI). [read post]
4 Sep 2010, 7:04 am by Jeff Sovern
David Horton of Loyola Law School Los Angeles haw written Arbitration as Delegation, 86 N.Y.U. [read post]
14 Jun 2015, 10:52 am by Law Offices of Jeffrey S. Glassman
Additional Resources: Secret Service imposes tougher drinking and driving rules , May 11, 2015, Boston Herald More Blog Entries: 1970s idol David Cassidy fined $900 in drunken-driving case , November 17, 2013, Boston Drunk Driving Accident Lawyer Blog The post 1970s Actor David Cassidy Convicted of Drunk Driving appeared first on Boston Drunk Driving Accident Lawyer Blog. [read post]
8 Apr 2011, 10:35 am by Keith Griffin
· David William Dube, former Owner, President, Chief Compliance Officer and Anti-Money Laundering (AML) Compliance Officer of (now-defunct) Peak Securities Corporation. [read post]
6 May 2012, 10:01 am by AstuteLegalVideos.com
  "The corporation pleaded guilty to felony offences and was sentenced to a fine of $1 million and five years' probation for harboring, concealing, shielding an illegal alien, and encouraging and inducing an illegal alien to reside. [read post]