Search for: "In re Parker"
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7 Dec 2016, 3:30 am
On the internet, nobody knows you’re a dog. [read post]
31 Oct 2016, 4:46 pm
They’re a normal and healthy part of institutional evolution, even if they produce some short-term disorientation. [read post]
20 Oct 2016, 10:00 pm
“We do market research, so at any given time we’re looking at what people are talking about. [read post]
12 Oct 2016, 6:37 am
If you’re already a member, please bring an in-house colleague that is not a member to help share the benefits of membership. [read post]
5 Oct 2016, 3:00 am
They’re called the “AUSAs” for Assistant U.S. [read post]
3 Oct 2016, 6:30 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
3 Oct 2016, 6:30 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
2 Oct 2016, 12:11 pm
See Parker v. [read post]
18 Sep 2016, 8:15 pm
The great, short-lived Charlie Parker — ultimately self-plagued with drug abuse — spent a summer practicing to the point of greatness, after drummer Jo Jones called Parker out for his early lackluster playing. [read post]
16 Sep 2016, 5:37 am
Is Donald Trump like The Sex Pistols because he goes on TV and talks to his interviewers in a way they're not used to and that busts up their game? [read post]
9 Sep 2016, 12:35 pm
Forrest Parker Smith, and Mr. [read post]
9 Sep 2016, 3:00 am
” Just so we’re clear, the man with the machete theoretically is the good guy in the previous sentence. [read post]
9 Sep 2016, 3:00 am
” Just so we’re clear, the man with the machete theoretically is the good guy in the previous sentence. [read post]
8 Sep 2016, 7:36 am
This is the second full commentary on “The New Trail of Tears” (TNToT), written by Naomi Schaefer Riley (NSR or the author). [read post]
7 Sep 2016, 5:00 am
This case demonstrates that the SEC has expanded its views on the use of back-tested performance in marketing and advertising materials by adding additional parameters not seen in prior SEC enforcement actions involving back-tested performance data such as In re Schield Management Company, In re Meridian Investment Management Corp., In re LBS Capital Management, Inc., and In re Patricia Owen-Michel. [read post]
7 Sep 2016, 5:00 am
This case demonstrates that the SEC has expanded its views on the use of back-tested performance in marketing and advertising materials by adding additional parameters not seen in prior SEC enforcement actions involving back-tested performance data such as In re Schield Management Company, In re Meridian Investment Management Corp., In re LBS Capital Management, Inc., and In re Patricia Owen-Michel. [read post]
18 Aug 2016, 8:00 am
We’re looking at system change. [read post]
11 Aug 2016, 3:41 pm
If they’re trying to hide the fact that they’re running ads, mission accomplished. [read post]
7 Aug 2016, 4:58 pm
"It's not clear whether Oquendo's post was a direct response to Flier's tweet or Scarborough's comments ["We’re asking ourselves — I didn’t say this, but this is what everybody is saying: Is Donald Trump a sociopath? [read post]
4 Aug 2016, 8:32 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Equinox Securities, Inc. of Redlands, California and Stephen Michael Oliveira submitted an Offer of Settlement in which the firm was expelled from FINRA membership; and Oliveira was fined $25,000, barred from association with any FINRA member in any principal capacity and suspended from association with any FINRA member in any… [read post]
