Search for: "Working Group on Securities Disclosure Authority"
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13 Feb 2019, 4:30 am
Matt is one of the founding members of the RKG Tech Law Group. [read post]
7 Jan 2020, 8:30 am
Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. [read post]
27 Jan 2020, 1:42 pm
Before joining Raymond James, Reznic worked for Pebsco Securities Corp. [read post]
4 Jun 2020, 1:20 pm
On May 27, 2020, the Department of Labor (the “DOL“) published a highly anticipated final rule in the Federal Register (the “Final Rule“) that provides new guidance with respect to furnishing certain required retirement plan disclosures electronically in order to comply with the information disclosure requirements under Title I of the Employee Retirement Income Security Act of 1974, as amended (“ERISA“). [read post]
9 Jul 2020, 1:15 pm
Taylor reportedly has six disclosure events on his broker record. [read post]
10 Feb 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]
9 Sep 2020, 6:06 am
Most recently, Hoffman was registered with Ameriprise Financial Services, LLC from 2016-2020 and prior to that, Hoffman worked for Wedbush Securities Inc. [read post]
22 Feb 2019, 8:25 am
You Should Be Thinking About Data Security; and When Does a Data Breach Require Disclosure Under Pennsylvania’s Data Breach Notification Act?. [read post]
8 Dec 2020, 7:46 am
Robert Halldin Reportedly Barred after Allegations of Selling Securities away from Member Firm The Financial Industry Regulatory Authority has reportedly barred broker Robert Halldin from the securities industry. [read post]
2 Mar 2021, 12:23 pm
According to Bedwell’s broker profile, he has worked at 5 different firms during his 10 years in the securities industry. [read post]
9 Jan 2014, 7:53 pm
The authority to issue these national security letters (NSLs) is comparable to the authority to issue administrative subpoenas. [read post]
22 May 2012, 1:05 pm
The Department of Labor’s Employee Benefits Security Administration (EBSA) has made a technical correction to recently released participant-level fee disclosure regulation (29 CFR § 2550.404a-5) contained in Field Assistance Bulletin No. 2012-02 (Fab 2012-02) as initially released on May 7, 2012. [read post]
22 Sep 2021, 10:28 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. [read post]
4 Aug 2021, 11:40 am
When brokers abuse client accounts or conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
11 Jan 2021, 5:01 am
The Atlantic Council’s new project on software supply chain security, Breaking Trust, which we co-authored, shows that this kind of vulnerability results in some of the most consequential and sophisticated software supply chain attacks, often perpetrated by state-backed actors. [read post]
15 Dec 2022, 5:14 pm
This article was co-authored with Jessica Kamleh. [read post]
11 Mar 2021, 8:30 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
11 Mar 2021, 8:30 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
10 Mar 2017, 7:28 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
26 Mar 2018, 12:06 pm
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
