Search for: "National Association Of Securities Dealers, Inc."
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28 Nov 2010, 12:49 am
The plaintiffs argue that the Raifmans in their individual capacity are not the plaintiffs' customers for the purpose of the National Association of Security Dealers Code of Arbitration Procedures. [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]
16 Sep 2010, 7:06 pm
STANDARD CHARTERED BANK INTERNATIONAL (AMERICAS) LIMITED and STANCHART SECURITIES INTERNATIONAL, INC., Defendants. [read post]
7 Sep 2010, 9:24 am
Arkema Inc. [read post]
11 Aug 2010, 7:24 am
After being caught, Morgan Stanley quickly and quietly settled a proposed FINRA enforcement action by entering into an Acceptance Waiver andamp; Consent, paying a small fine ($800,000), and without admitting or denying the allegations, through a deal with FINRA (formerly the National Association of Securities Dealers, Inc.), a andquot;self-regulatory organizationandquot; which Morgan Stanley is a member, allows Morgan Stanley to keep secret the identities… [read post]
19 Jul 2010, 3:37 pm
Click Here McWane Inc. [read post]
5 Jul 2010, 6:27 am
Stifel Nicolaus & Co.), Jesup & Lamont Securities Corp., Jeffries & Company, Inc., Raymond James & Associates, Inc., and Robert W. [read post]
29 Jun 2010, 1:47 pm
Broker-dealers that sold Provident Royalties private placements Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd. $110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc. $585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc. $100,000 $2,250 Barron Moore Inc. $250,000 $96,750 Boogie Investment Group Inc. $410,000… [read post]
14 Jun 2010, 4:37 am
Availability of absolute or qualified privilege in judicial and quasi-judicial actionsRosenberg v Metlife, Inc, 8 NY3d 359The Rosenberg decision provides an opportunity to explore the issue of the “qualified immunity” and the “absolute immunity” of individuals in the public service sued for alleged libel or slander flowing from their performance of an official duty.The United States Court of Appeals for the Second Circuit asked the New York State Court of Appeals… [read post]
8 Jun 2010, 1:13 pm
The Travelers Companies, Inc., et al. [read post]
24 May 2010, 11:29 am
(Milford, MA) Ajt Security Inc. [read post]
7 May 2010, 11:37 pm
However, Securities Fraud Lawyer William Shepherd considers Shapiro’s statement “strange,” especially as it was “made by someone who, prior to taking over at the SEC, was in charge of the National Association of Securities Dealers, Inc (now called the Financial Industry Regulatory Authority). [read post]
6 May 2010, 11:18 am
Dennis Berman of the WSJ explains: The Securities and Exchange Commission is examining the disclosures Berkshire Hathaway Inc. made about its $26 billion purchase of Burlington Northern Santa Fe Corp. railroad, said people familiar with the matter. [read post]
3 May 2010, 8:56 pm
” Related Web Resources: Ranking Broker-Dealers According to Highest Average AUM Per Rep, Investment News, National Association of Independent Broker Dealers [read post]
29 Apr 2010, 2:08 pm
” The National Association of Shareholder and Consumer Law Attorneys is a nonprofit organization comprised of about 100 law firms representing consumers and investors - including pension funds and individuals - in cases of securities fraud and other forms of "white collar" wrongdoing and criminal activity. [read post]
26 Apr 2010, 1:30 pm
National Park Hosp. [read post]
17 Apr 2010, 5:00 am
Mar. 1, 2010), Standard Investment Chartered, Inc., (“Standard”) and Benchmark Financial Services (“Benchmark”), allege officials in the National Association of Securities Dealers (“NASD”) made material misrepresentations in the proxy statement for the consolidation of NASD & the regulatory division of NYSE into FINRA. [read post]
12 Apr 2010, 7:24 pm
This Rule applied to exchange-listed securities, and the National Association of Securities Dealers, Inc. [read post]
8 Apr 2010, 9:24 am
April 9, 2010 - Securities America, Inc. , a nationally known securities broker/dealer, has been accused of promoting to its customers the private placement of funds in alleged ponzi schemes, including debentures, which were offered by Striker Petroleum, LLC. [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]
