Search for: "National Association Of Securities Dealers, Inc."
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26 Aug 2013, 8:38 am
National Association of Securities Dealers, Inc., 159 F.3d 1209 (9th Cir. 1998), holding that while “Sparta’s complaint sought relief based upon violation of exchange rules[,]” plaintiffs here acknowledge that PICO complied with the act and instead only allege state law violations. [read post]
4 Sep 2014, 3:19 am
SEC Office of Compliance, Inspections and Examinations (OCIE) On April 15, 2014, the OCIE issued a National Exam Program Risk Alert, entitled “OCIE Cybersecurity Initiative,” announcing it would conduct examinations of more than 50 registered broker-dealers and investment advisors “designed to assess cybersecurity preparedness in the securities industry and to obtain information about the industry’s recent experiences with certain types of… [read post]
15 Dec 2022, 10:23 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
15 Jun 2012, 9:17 am
They hold the rank of 2011 "Top NRA Recruiter of The Year - Dealer" from the National Rifle Association (NRA). [read post]
15 Feb 2011, 8:32 am
Some industry groups and the National Association of State Securities Administrators, Inc. [read post]
3 Apr 2013, 12:47 pm
Essentially, though, FINRA Rule 2111 requires that a broker-dealer or associated person “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the [firm] or associated person to ascertain the customer’s investment profile. [read post]
26 May 2015, 11:32 am
FINRA alleged that LPL violated National Association of Securities Dealers (“NASD”) Rule 3010(b) and FINRA Rule 2010, which state that “[a] member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. [read post]
13 Jan 2011, 11:45 pm
China Auto Logistics Inc. [read post]
7 Oct 2021, 6:37 am
(“Coinbase”) filed an application with the National Futures Association (“NFA”) to register as a Future Commission Merchant. [read post]
18 Dec 2023, 2:48 pm
The National Venture Capital Association Revises its Model Legal Documents. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
23 Apr 2020, 12:18 pm
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
24 Oct 2007, 5:15 am
On September 18, The United States Court of Appeals for the Eleventh Circuit, sitting en banc, upheld a lower court decision denying a Rule 12(b)(6) motion (failure to state a claim) made by the National Association of Securities Dealers, Inc. [read post]
14 Nov 2017, 3:27 am
Securities and Exchange Commission, Jay Clayton. [read post]
31 Dec 2010, 7:30 am
Claus, No. 08-20710, (5th Cir., Feb. 11, 2010), the court held that a National Association of Securities Dealers arbitration panel did not exceed its authority when it awarded attorney’s fees directly to counsel. [read post]
31 Mar 2010, 1:51 am
In the largest-ever prosecution of individuals for FCPA crimes, 22 arms dealers have been charged with attempting to bribe a fictitious foreign official in order to secure a cut of a $15 million contract. [read post]
3 Nov 2009, 3:41 am
They also alleged that Vinar was negligent in failing to seek reformation of the National Association of Securities Dealers, Inc., Form U-5 (hereinafter the U-5), provided by the plaintiff's employer to remove an allegedly false or defamatory statement contained therein regarding the reason for the termination of her employment. [read post]
13 Feb 2023, 7:28 am
The combined 18 discussion drafts underlying the two hearings would address a variety of issues, including accredited investors, crowdfunding, micro-offerings, venture capital funds, Regulation A, and broker-dealers who function as private placement brokers and finders. [read post]
30 May 2021, 1:44 am
Finally, in January 2019 Thurnherr’s former broker dealer, Spartan Securities, entered into a consent order with the NJ Dept of Securities in relation to the fact that Thurnherr violated his heightened supervision agreement. [read post]
30 May 2021, 1:44 am
Finally, in January 2019 Thurnherr’s former broker dealer, Spartan Securities, entered into a consent order with the NJ Dept of Securities in relation to the fact that Thurnherr violated his heightened supervision agreement. [read post]
