Search for: "National Association Of Securities Dealers, Inc."
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24 May 2010, 11:29 am
(Milford, MA) Ajt Security Inc. [read post]
20 Nov 2009, 9:25 am
Three Texas dealers, Dan Gill, Howard Granby, and Patrick Morrow ("the Dealers"), sued Exxon in the county court at law of Nueces County on behalf of all Exxon dealers in the nation, complaining that unbeknownst to them, Exxon added the cost of the rebate programs back into the wholesale price Exxon charged them for gasoline. [read post]
20 Apr 2023, 1:20 pm
On February 9, 2023, the Security and Exchange Commission (“SEC”) charged Payward Ventures, Inc. and Payward Trading Ltd. [read post]
14 Feb 2007, 7:35 pm
The National Association of Securities Dealers (NASD) offers an online resource "Broker Check", for the public to check out the registration of investment brokers (a/k/a registered representatives) at www.nasdr.com. [read post]
25 Sep 2007, 1:00 am
Nasdaq and its former parent, the National Association of Securities Dealers, had sought the full court's help after an 11th Circuit panel voted 2-1 last year to deny the two entities immunity from Steven I. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
28 Sep 2023, 12:22 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
13 Jul 2021, 5:54 am
In December 2020, the SEC filed an action against Ripple Labs Inc. [read post]
8 Feb 2007, 5:00 pm
PSKS, Inc. [read post]
26 Dec 2011, 7:12 am
See also: National Post – Supreme Court Won’t Hear U.S. [read post]
25 Dec 2011, 11:54 am
See also: National Post – Supreme Court Won’t Hear U.S. [read post]
12 Dec 2017, 4:36 pm
The company, Munched, Inc. halted its ICO after being contacted by the SEC, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. [read post]
15 Dec 2022, 4:00 am
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
15 Dec 2022, 8:00 am
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
17 Dec 2018, 3:14 pm
Specifically, the SEC alleged that Mayweather failed to disclose promotional payments from three ICO issuers, including $100,000 from Centra Tech, Inc. [read post]
7 Apr 2010, 3:44 pm
– The Associated Press, March 22, 2010 An Iowa dairy operation has agreed to pay more than $26,000 in civil penalties for discharging animal waste without the proper permits. [read post]
3 Nov 2010, 1:06 pm
Before TIPS, the US never used inflation-adjusted securities, which are a worrisome tool – nations that have used inflation-indexed lending and borrowing has seen their inflation untethered and fly away. [read post]
2 Jan 2009, 8:22 am
Alan Vesture Auto Group, Inc.: This is a putative class action against an automobile dealer for allegedly misleading financing practices. [read post]
16 Feb 2020, 9:38 am
Ruder was a member of numerous organizations and served on several boards throughout his career including the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues; Mutual Fund Directors Forum; Public Company Accounting Oversight Board Advisory Council; International Accounting Standards Committee Foundation; Securities and Exchange Commission Historical Society; National Association of Securities Dealers, Inc.; Task Force on the… [read post]
18 Jan 2007, 12:09 pm
Addendum: In another development concerning Morgan Stanley email, the National Association of Securities Dealers announced on December 19, 2006, that it had filed an administrative complaint alleging Morgan Stanley DW had failed to provide email to arbitration claimants and to regulators and had claimed incorrectly that millions of email documents in the company's possession had been lost during the September 11 terrorist attack on the World Trade… [read post]
