Search for: "National Association Of Securities Dealers, Inc."
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5 Apr 2023, 7:14 pm
This rule requires broker-dealer firms to establish and maintain a system to supervise the activities of their associated persons (e.g., brokers) to ensure that they comply with securities laws and regulations. [read post]
30 Mar 2023, 2:08 pm
Furthermore, those same securities sellers failed to disclose that Northstar was owned by Lindberg, or the risks associated with the investment. [read post]
30 Mar 2023, 10:04 am
Morgan Keegan Bank Ocean Financial Services, LLC (a/k/a Ocean Bank), Morgan Securities Raymond James & Associates Raymond James Financial Services Trust Investment Services, Inc. [read post]
30 Mar 2023, 8:48 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 Seattle, Washington. [read post]
30 Mar 2023, 6:52 am
FINRA has reportedly barred Patatian from associating with any FINRA member in any capacity for these violations. [read post]
15 Mar 2023, 1:31 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 Seattle, Washington. [read post]
13 Mar 2023, 11:19 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 Seattle, Washington. [read post]
24 Feb 2023, 6:55 am
Securities Investigation: Sorrento Therapeutics Inc. [read post]
23 Feb 2023, 12:55 pm
Securities Investigation: Lucira Health Inc. [read post]
17 Feb 2023, 5:06 am
The National Association of Securities Dealers, Inc. [read post]
13 Feb 2023, 7:28 am
The combined 18 discussion drafts underlying the two hearings would address a variety of issues, including accredited investors, crowdfunding, micro-offerings, venture capital funds, Regulation A, and broker-dealers who function as private placement brokers and finders. [read post]
9 Feb 2023, 6:18 am
FINRA Censures and Fines Rosenblatt Securities According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has censured and fined Rosenblatt Securities, Inc., a broker-dealer headquartered in New York, NY, $35,000 in connection with private placement sales. [read post]
30 Jan 2023, 9:41 am
This claim was filed with the National Association of Securities Dealers (NASD) with a decision rendered on 10/9/1995. [read post]
23 Jan 2023, 9:01 pm
Restricted competition trading center: Any trading center that is not an open competition trading center and is not a national securities exchange. [read post]
23 Jan 2023, 4:34 pm
Keppler is a director of the Estate Law Specialist Board Inc. [read post]
6 Jan 2023, 3:00 am
National/Federal Advocacy Groups Denounce GOP Proposals to ‘Gut’ Ethics Office MSN – Kate Ackley (Roll Call) | Published: 1/3/2023 Ethics advocacy groups are sounding alarms that a proposal from House Republicans to change the Office of Congressional Ethics (OCE) could eviscerate the watchdog, leaving it unable to function. [read post]
30 Dec 2022, 7:37 am
Morgan Securities LLC Ameriprise Financial Services, Inc. [read post]
16 Dec 2022, 8:28 am
Liddle was reportedly registered with the following FINRA registered broker dealers, but was doing business under the name Prosper Wealth Management, according to FINRA: 04/27/2020 – 05/27/2022, LANDOLT SECURITIES, INC. [read post]
15 Dec 2022, 10:23 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 Seattle, Washington. [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]
