Search for: "NATIONAL SECURITIES CORPORATION"
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6 Dec 2016, 7:37 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Wayde Walker (Walker) currently registered with National Securities Corporation (National Securities), alleging unsuitable investments, fraud, breach of fiduciary duty, churning, and unauthorized trading among other claims. [read post]
5 Apr 2013, 12:34 pm
Some of the things that Schumer has done that activists are take issue with include: advocating for more border security at a time when the border is supposed to be the most secure, supporting the implementation of a national I.D. card, and calling the undocumented “illegals. [read post]
28 Mar 2019, 7:53 am
Just to flag that I am moderating a great panel on what directors and management should be doing about cyber security; this is under the auspices of the National Assn of Corporate Directors–New England, and full information is at https://newengland.nacdonline.org/Events/Detail/index.cfm? [read post]
23 May 2016, 12:46 pm
On May 16, 2016, six federal agencies – the Federal Deposit Insurance Corporation, the Federal Housing Finance Agency, the Federal Reserve Board of Governors, the National Credit Union Administration, the Office of the Comptroller of the Currency and the Securities and Exchange Commission – requested public comments on proposed rule that would “prohibit incentive-based compensation arrangements that encourage inappropriate risks at covered financial… [read post]
26 Apr 2023, 9:01 pm
Today’s corporate crises frequently involve legal issues that span traditionally discrete areas such as consumer protection, corporate governance, corporate restructuring, employee relations, governmental investigations, securities regulations and white-collar crime. [read post]
28 Oct 2016, 7:37 am
He was discharged from National Securities Corporation in 2012 after one customer’s allegations of unauthorized trades and poor performance. [read post]
28 Apr 2008, 7:31 am
The suits are consolidated under National City Corporation Securities, Derivative & ERISA Litigation, Case No. 1:2008cv07000, before Judge Patricia A. [read post]
16 Sep 2010, 5:26 am
In his Corporate Securities column, John C. [read post]
11 Dec 2009, 12:44 pm
Kim Cragin of the RAND Corporation. [read post]
15 Jan 2020, 12:40 pm
We’ve selected parts of the transcript relevant to national security. [read post]
7 Mar 2013, 5:32 am
The Formalities of Running a Corporation Whether you’re a one man shop or a multi-national conglomerate, some formalities simply can’t be ignored. [read post]
26 Apr 2021, 9:05 pm
DTCC’s subsidiaries, the Depository Trust Company (DTC) and the National Securities Clearing Corporation (NSCC), clear and settle nearly all securities transactions in the United States. [read post]
15 Sep 2005, 12:49 am
The government intervened to assert the 'state secret' privilege because divulging the information Crater requested during discovery would jeopardize national security. [read post]
22 Jun 2023, 9:54 am
The Corporate Transparency Act (“CTA”) was enacted as part of the National Defense Authorization Act for Fiscal Year 2021. [read post]
7 Aug 2024, 8:26 am
Getnick Law is one of the nation’s preeminent whistleblower practices, having recovered more than $1 billion for the government and record awards for its clients. [read post]
26 Jul 2018, 7:28 am
Public Citizen, a national non-profit organization, has issued a report in partnership with the Corporate Research Project of Good Jobs First, on Corporate Impunity, which highlights the Trump administration’s softening stance on enforcement policies that protect Americans from corporations that break the law. [read post]
4 Nov 2021, 9:38 am
While BlackRock is pushing corporate wokeness in America, they are also tight with China. [read post]
13 Jan 2015, 7:09 pm
Lastly, it's worth comparing the NYDFS remedy with the National Mortgage Settlement. [read post]
20 Feb 2019, 1:18 pm
While the recommendation was immediately shot down, it is a powerful recognition of the significance of 5G national security challenges. [read post]
5 May 2009, 2:39 pm
Other substantial increases were seen in cases with designated security types of common stock and corporate bonds. [read post]
