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20 Oct 2013, 4:33 pm by D. Daxton White
In addition to the monetary relief, the SEC’s order censures UBS Puerto Rico, directs it to cease-and-desist from committing or causing any further violations of the provisions charged, and orders the firm to comply with its undertaking to retain an independent consultant at UBS Puerto Rico’s expense. [read post]
18 Oct 2013, 6:56 am by Joe May
The attorney general’s office is asking the court to order the group to immediately comply with state disclosure laws. [read post]
17 Oct 2013, 6:39 pm by Geoff Cockrell
For example, in May 2013, Quest Diagnostics Inc. acquired Concentra’s toxicology and clinical laboratory business. [read post]
17 Oct 2013, 10:32 am by Cynthia L. Hackerott
Nevertheless, when complying with OFCCP information requests that focus on current pay, contractors should, to protect their legal rights, add a disclaimer noting that the correct legal standard is to focus on pay decisions, Bulger said. [read post]
16 Oct 2013, 6:17 am by Adam Weinstein
Between March 16, 2009, and September 21, 2012, FINRA alleged that Sunset Financial Services, Inc., (Sunset) failed to establish and maintain a supervisory system regarding the sale of leveraged or inverse exchange-traded funds, otherwise known as nontraditional ETFs, that was reasonably designed to comply with NASD Conduct Rule 3010. [read post]
15 Oct 2013, 11:00 pm by Florian Mueller
(now Motorola Solutions, Inc.), Motorola Mobility LLC (formerly Motorola Mobility, Inc.) and General Instrument Corporation the amount of $14,524,406, with post-judgment interest pursuant to 28 U.S.C. [read post]
12 Oct 2013, 11:46 am by Adam Weinstein
  However, according to FINRA, Financial West Group did not comply with its existing policies and procedures for review of email and did not review 277,879 out of 342,866 emails flagged for review. [read post]