Search for: "National Action Financial Services, Inc."
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13 Jul 2018, 6:19 am
National Australia, Section 10(b), Securities enforcement, Securities fraud Investing for Impact Posted by Bhagwan Chowdhry (UCLA), Shaun Davies (University of Colorado, Boulder), Brian Waters (University of Colorado, Boulder), on Thursday, July 12, 2018 Tags: Benefit corporation, Capital formation, Corporate Social Responsibility, ESG, Reputation, Social capital, Sustainability ISS Senate Hearing Statement Posted by Gary… [read post]
11 Jul 2018, 10:14 am
In the appeal, the Federal Circuit explained that the system could be used in either financial services or non-financial services – and it “is not enough for the specification to describe how the invention could, in some instances, be used to facilitate financial transactions. [read post]
10 Jul 2018, 3:57 am
Enforcement SEC Takes Civil Actions Against Fraudulent ICO On April 2, 2018, the SEC filed a complaint in the United States District Court for the Southern District of New York against Centra Tech., Inc. [read post]
29 Jun 2018, 6:04 am
Wier (University of Copenhagen), on Tuesday, June 26, 2018 Tags: EU, Europe, Globalization, Incentives, International governance, Profitability, Tax avoidance, Taxation Peer Selection and the Wisdom of the Crowd: Considerations for Companies and Investors Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Tuesday, June 26, 2018 Tags: Benchmarks, Executive… [read post]
28 Jun 2018, 5:32 am
(FINRA National Adjudicatory Council Decision, Complaint No. 2009017440201 / March 15, 2017)https://www.finra.org/sites/default/files/NAC_2009017440201_Ottimo%2C_031517_0.pdfAs set forth in the preamble of the SEC Opinion:Louis Ottimo, a former registered representative with EKN Financial Services Inc. (“EKN”), a former FINRA member firm, seeks review of a FINRA disciplinary action finding that he fraudulently omitted information from… [read post]
27 Jun 2018, 9:13 am
Trade clearly results in positive economic outcomes, allowing people in different countries to specialize in what they do best, and then exchange physical goods, services, and financial assets across borders. [read post]
21 Jun 2018, 10:17 am
Wayfair, Inc., Overstock.com, Inc., and Newegg, Inc. [read post]
18 Jun 2018, 5:27 pm
Books A Million, Inc. [read post]
13 Jun 2018, 9:37 am
In 2015, five global financial institutions pled guilty to charges that they conspired to manipulate currency prices in the foreign exchange market.[3] These banks paid a total of nearly $9 billion in fines to a long list of U.S. and foreign government agencies, including the Justice Department; the Federal Reserve; the Comptroller of the Currency; the New York State Department of Financial Services; the Commodity Futures Trading Commission; the United Kingdom’s… [read post]
12 Jun 2018, 6:31 am
International Financial Corporation and in Vila v. [read post]
4 Jun 2018, 6:30 am
Concorde Investment Services, LLC Independent Financial Group, LLC Jeffrey Michael Johnson Morgan Stanley Raymond James & Associates, Inc Rick Douglas Konency National Securities Corporation J.P. [read post]
3 Jun 2018, 2:18 pm
NASAA is the national voluntary membership association of the securities regulatory authorities in the 50 states, the District of Columbia, Puerto Rico, and the U.S. territories, as well as the provincial and territorial authorities in Canada and Mexico. [read post]
30 May 2018, 4:26 am
Of this total value, 38.8 million dollars came from clients of MD Financial whom they had previously serviced. [read post]
25 May 2018, 12:21 pm
As recently as 2015, Minden Pictures, Inc. v. [read post]
11 May 2018, 7:22 am
ZZZZ Best became a national story, and young Minkow became a celebrity. [read post]
9 May 2018, 4:35 pm
Munsingwear, Inc., the Supreme Court should vacate the U.S. [read post]
7 May 2018, 10:25 pm
at§§ 6.E, 16)In 2012, FMDS was sold to GSS Data Services, Inc. [read post]
6 May 2018, 8:35 pm
” Nor was the promise of compensation later, as part of a paid contract, sufficient to constitute a financial benefit, the court explained. [read post]
26 Apr 2018, 10:40 am
In an unexpected move, the Democratic National Convention turned political reprobation for election interference into formal legal action alleging conspiracy. [read post]
