Search for: "National Association Of Securities Dealers, Inc."
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29 Nov 2011, 3:29 pm
National Securities Corporation of Seattle, WA, was ordered to pay $175,000 in restitution to affected customers, and Matthew G. [read post]
29 Nov 2011, 9:42 am
He was previously associated with VSR Financial Services, Inc. [read post]
23 Nov 2011, 6:32 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 Boca Raton, Florida. [read post]
22 Nov 2011, 5:35 pm
If the federal court approves the proposed judgment, an administrative proceeding will suspend Merk for 12 months from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any penny stock offering, the complaint said. *** If you have been the victim of securities fraud you should consult with… [read post]
21 Nov 2011, 12:25 pm
-based broker-dealer FTN Financial Securities Corp. for aiding financial advisor firm Sentinel Management Group Inc. in defrauding its clients of an estimated $1.5 milion…” It is alleged that FTN Financial Securities failed to “maintain accurate books and records of Sentinel’s securities transaction liabilities in its 2006 financial statements. [read post]
16 Nov 2011, 1:34 pm
The National Automobile Dealers Association (NADA) issued a statement saying, "America's auto dealers support continuous improvement in the fuel economy of the fleet of vehicles that drive on the nation's roads. [read post]
14 Nov 2011, 7:13 pm
Chevron USA, Inc., 2010 WL 99272, *14-15 (S.D.Ohio 2010) (addressing a meta-analysis by Dr. [read post]
11 Nov 2011, 10:03 am
The conduct violated FINRA Rule 2010 concerning standards of commercial honor and principles of trade as well as National Association of Securities Dealers, or NASD, Rule 2440 on fair prices and commissions. [read post]
27 Oct 2011, 9:24 am
Rule 17a-1(c) requires a national securities association promptly to furnish the Commission with a copy of any such document that the Commission requests. [read post]
21 Oct 2011, 2:39 pm
FINRA is the successor to the National Association of Securities Dealers, better know by the acronym "NASD. [read post]
21 Oct 2011, 2:03 pm
Simoneand#39;s conduct violated National Association of Securities Dealers Conduct Rule 2110 and IM-1000-1 for Willful Failure to Disclose Material Information on a Form U4, and FINRA Rule 2010 on Standards of Commercial Honor and Principles of Trade. [read post]
14 Oct 2011, 12:51 pm
FINRA accepted the AWC on Sept. 29 FINRA found that Raymond James failed to establish and maintain a supervisory system designed to achieve compliance with a conduct rule of the National Association of Securities Dealers, or NASD, concerning fair prices and commissions. [read post]
12 Oct 2011, 2:27 pm
National Association of Securities Dealers, Inc., No. 07 Civ.2014(SWK), 2008 WL 199537, at *2 (S.D.N.Y. [read post]
7 Oct 2011, 4:03 pm
In 2000, a panel of the National Association of Securities Dealers andndash; FINRAandrsquo;s predecessor -- found that Fiero Bros., a registered broker-dealer, had engaged in market manipulation and illegal short selling. [read post]
7 Oct 2011, 9:01 am
In December 2009, FINRA permanently barred Hammonds from any association with any FINRA member in any capacity for violations of Section 10(b) and 10(b)(5) of the Securities Exchange Act of 1934 and National Association of Securities Dealers Rules 2110, 2120 and 2330. [read post]
6 Oct 2011, 10:10 am
National Association of Securities Dealers, Inc.Note: Goldstein & Russell, P.C. represents the petitioner in this case.Docket: 11-381Issue(s): What activities of a self-regulatory organization are subject to immunity? [read post]
6 Oct 2011, 7:38 am
However, the Court hints that, under Section 19(b) of the Exchange Act, an SRO can potentially address this issue by filing a proposed rule change with the SEC, who must publish notice of the proposed rule change and give interested individuals an opportunity to comment prior to either approving or disapproving the rule (something which FINRA failed to do in this situation).FINRA is the successor to the National Association of Securities Dealers… [read post]
25 Aug 2011, 9:10 am
National Practice. [read post]
18 Aug 2011, 11:10 pm
Gallagher et al.Petitioners' reply Amicus brief of International Municipal Lawyers Association Title: Williams v. [read post]
29 Jul 2011, 5:23 pm
Countrywide Home Loans, Inc., No. [read post]
