Search for: "MATTER OF A R"
Results 6801 - 6820
of 114,124
Sorted by Relevance
|
Sort by Date
4 Nov 2016, 6:02 am
FINRA Settles Non Disclosure Of Tax Liens Without Finding WillfulnessAmong the most common FINRA regulatory matters that are presented in the BrokeAndBroker.com Blog are those involving registered representative's failures to disclose (or to timely disclose) matters on their Form U4. [read post]
21 Nov 2019, 8:42 am
In the Matter of Rochelle Shoulders, Respondent (FINRA AWC 2017056393301)In the Matter of the Application of Thaddeus J. [read post]
Astounding 20 Criminal, Regulatory, and Compliance Cases Featured in Securities Industry Commentator
27 Sep 2019, 3:33 am
As prosecutors and regulators end their fiscal year, the rush is on to close 2019 matters. [read post]
10 Mar 2014, 6:04 am
In the Matter of Mark E. [read post]
10 Jan 2020, 1:41 am
In the Matter of Prudential Investment Management Services LLC, Respondent (FINRA AWC)FINRA Fines Citigroup Global Markets Inc. [read post]
30 Jan 2020, 12:46 am
In the Matter of FIMCO Securities Group, Inc., Respondent (FINRA AWC)FINRA OHO Panel Grants Summary Disposition in Rule 8210 Matter. [read post]
12 May 2018, 12:03 pm
It seems that each week there are increasing numbers of arbitrations filed with FINRA seeking expungement of various matters from a registered rep's industry record. [read post]
6 Apr 2014, 9:33 pm
April 16, 2014 - "Patent Subject Matter Eligibility: Navigating the New "Myriad" Guidelines -- Analyzing Subject Matter and Avoiding Rejection Under the USPTO's Detailed Framework" (Strafford) - 1:00 to 2:30 pm (EDT) April 22, 2014 - China Pharmaceutical Regulatory Law Boot Camp (American Conference Institute) - New York, NY April 23, 2014 - European biotech patent law update (D Young & Co) - 4:00 am, 7:00 am, and 12:00 pm (ET) April 23, 2014 - "Advanced AIA Issues for Patent… [read post]
25 Sep 2018, 5:00 am
.), the Pennsylvania Superior Court affirmed the joinder of an additional defendant in the matter where the court found that the additional defendants were not prejudiced by the untimely joinder motion and where the applicable statute of limitations had not yet begun to run on crossclaims for indemnification where no underlying judgment had been entered yet in the case.In its decision, the Court provides a nice overview of the Rules of Civil Procedure pertaining to the joinder of additional… [read post]
26 Apr 2019, 1:47 am
In part the SEC Order asserts under the heading "Summary":This matter involves DB... [read post]
28 Jun 2018, 5:32 am
In the Matter of the Application of Louis Ottimo For Review of Disciplinary Action Taken by FINRA (Opinion, SEC, '34 Act Rel. [read post]
30 Apr 2014, 8:56 am
As set forth in the SEC's Order:This matter primarily involves a number of episodes in whic... [read post]
4 Dec 2013, 2:47 am
A new interesting article from Canada: "'A Matter of Time and a Matter of Place’: Colonial Inquiries and the Politics of Testimony" by Professor Carmela Murdocca from York University of Toronto.Abstract: Through an examination of the deaths of two young men in a detention center fire in Kashechewan, Ontario, this article examines links between legal testimony, temporality, competing forms of evidence (oral histories, visual recordings and… [read post]
16 May 2014, 6:11 am
Notwithstanding the seemingly plain vanilla nature of this matter, there are a number of interesting twists and turns. [read post]
30 Jan 2020, 12:46 am
In the Matter of Peter D. [read post]
14 Nov 2014, 3:25 am
In the Matter of Donald L. [read post]
19 Jun 2017, 3:17 am
Unfortunately, that Decision involves allegations of elder abuse, which is no laughing matter. [read post]
12 Jul 2019, 3:42 am
In the Matter of Samuel K. [read post]
26 May 2014, 11:18 am
The answer is one that depends on several factors, and should be weighed by a jury as a matter of fact, not by the court as a matter of law. [read post]
28 Jun 2017, 1:42 am
Those who are regulated always chafe under the collar, no matter the industry and no matter the fairness of those who regulate. [read post]
