Search for: "Richard Andrew Broker"
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27 Oct 2017, 6:24 am
[more…] Congress Makes It Harder to Sue the Financial Industry by Andrew Ackerman and Yuka Hayashi The 51-50 vote handed the financial industry its most significant legislative victory since President Donald Trump took office and was a rebuke of Consumer Financial Protection Bureau Director Richard Cordray, who pressed ahead with his agenda in defiance of Republicans. [read post]
5 Jan 2017, 2:22 pm
In the second installment, Seyfarth attorneys Richard D. [read post]
5 Jan 2017, 2:22 pm
In the second installment, Seyfarth attorneys Richard D. [read post]
23 Sep 2016, 6:05 am
Securities & Exchange Commission, on Friday, September 16, 2016 Tags: Algorithmic trading, Audit trail, Broker-dealers, Capital markets, Disclosure, Exchange-traded funds, Financial technology, FINRA, High-frequency trading, Investor protection, Market conditions, Market efficiency, Proprietary trading,REG SCI, SEC, Securities regulation, Transparency A Theory of Efficient Short-Termism Posted by Richard T. [read post]
24 Jun 2016, 6:31 am
Posted by David Larcker, Stanford University, on Monday, June 20, 2016 Tags: Agency costs, Boards of Directors, Compensation committees, Executive Compensation, Incentives, Long-Term value, Management, Pay for performance, R&D, Risk, Risk-taking, Shareholder value Venture-Backed IPOs in 2015 Posted by Richard C. [read post]
18 May 2016, 5:45 am
Regulation SHO, among other things, imposes “Locate” and “Close-Out” requirements on broker-dealers in an attempt to limit naked short-sales.[2] The Escala shareholders asserted ten causes of action, all under New Jersey statutes and common law and none expressly asserting federal law causes of action. [read post]
13 May 2016, 10:30 am
The litigation will be led by Richard G. [read post]
6 May 2016, 5:00 am
There were a lot of other bad consequences of Richard’s wrongdoing. [read post]
3 May 2016, 10:28 am
Castaldo along with registered representatives Richard L. [read post]
16 Apr 2016, 1:15 pm
As more plaintiff brokers offer trusts and other non-structured settlement products, and share commissions with defense brokers, NSSTA should consider helping its members better understand how settlement planning impacts the sale of structured settlements - creating new opportunities as well as risks. [read post]
4 Jan 2016, 8:33 am
Brokerage Firms & Brokers Success Trade Securities, Inc. and Fuad Ahmed. [read post]
3 Jan 2016, 7:03 pm
The cucumbers were distributed by Andrew & Williamson Fresh Produce. [read post]
3 Jan 2016, 5:33 am
In 2014 former Peanut Corporation of America owner Stewart Parnell, his brother and one-time peanut broker, Michael Parnell, and Mary Wilkerson, former quality control manager at the company’s Blakely, Georgia, plant, faced a federal jury in Albany, Georgia. [read post]
29 Sep 2015, 2:02 pm
Nick Morrisey, and Andrew Marzec, pursuant to a summary proceeding, for failing to cooperate with the investigation by failing to respond to requests for information. [read post]
18 Sep 2015, 7:58 am
Nick Morrisey and Andrew Marze, for failing to cooperate with FINRA’s investigation. [read post]
9 Feb 2015, 1:15 am
Heald (Richard W. [read post]
1 May 2014, 6:40 am
Typically these loans are then forgiven by the hiring firm on a monthly or annual basis and if the financial advisor remains with the new firm through the duration of the forgiveness period of the loan, the broker does not have to repay the loan. [read post]
18 Apr 2012, 11:55 am
This will help servicers who may need more time to obtain a broker price opinion or a private mortgage insurer’s approval on a BRP or property offer. [read post]
15 Aug 2011, 2:59 am
"It's no secret that the honey smuggling is being driven by money, the desire to save a couple of pennies a pound," said Richard Adee, who is the Washington Legislative Chairman of the American Honey Producers Association. [read post]
9 Mar 2011, 6:51 am
After a rather anti-climactic first day, the Rajaratnam trial could shift gears on Wednesday, especially if Judge Richard Holwell seats a jury and opening-statements begin. [read post]
