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17 May 2019, 8:42 am
Massachusetts Secretary of the Commonwealth William Galvin has filed charges against broker-dealer Janney Montgomery Scott accusing the firm of not properly supervising broker Stephen Querzoli during his trading of Class A mutual fund shares from 2012 to 2017. [read post]
17 May 2019, 4:25 am
This included the Committee Chair Julie Dabrusin, Vice Chairs Steven Blaney and Pierre Nantel, 10 Committee members (Gary Anandasangaree, Randy Boissonnault, Pierre Breton, Anju Dhillon, Andy Fillmore, Gordie Hogg, Wayne Long, Martin Shields, Kate Young, and David Yurdiga) and 14 other MPs who also participated (William Amos, Mel Arnold, Robert Aubin, Vance Badawey, Maxime Bernier, Sylvie Boucher, Sean Casey, Shaun Chen, Alupa A. [read post]
14 May 2019, 9:03 am
Attorney General William Barr appointed John H. [read post]
13 May 2019, 9:35 am
ENVIRONMENTAL LAW William deBuys, A Great Aridness: Climate Change and the Future of the American Southwest (2011). [read post]
13 May 2019, 4:00 am
Brown, Inara Scott & Eric D. [read post]
9 May 2019, 12:29 pm
The post Janney Montgomery Scott | Supervisory Failures appeared first on The White Law Group. [read post]
7 May 2019, 8:30 am
Scott Bomboy is the editor in chief of the National Constitution Center. [read post]
7 May 2019, 7:09 am
Managers for the public offering were William Blair and Raymond James, and the co-manager was Avondale Partners. [read post]
6 May 2019, 4:48 am
Araiza, Scott R. [read post]
6 May 2019, 1:14 am
William O. [read post]
4 May 2019, 12:39 pm
GIVING CREDIT WHERE CREDIT IS DUE Democrat Richard Hightower botches his first National Collegiate Student Loan Trust case after taking office as a member of Houston Court of Appeals Sheila Kirk v. [read post]
30 Apr 2019, 9:42 am
Scott Anderson commented on the obstruction of justice analysis Attorney General William Barr conducted when interpreting the findings of the Mueller Report. [read post]
24 Apr 2019, 12:40 pm
The SEC case against the men comes almost two years after the regulator filed its case against Intertech and principals David Naylor and William Scott Marshall. [read post]
24 Apr 2019, 7:26 am
Opening Remarks by Valerie Szczepanik, Head, FinHubRemarks by William Hinman, Director, Division of Corporation FinancePanel 1: Capital Formation ConsiderationsModerator: Jonathan Ingram, Chief Legal Advisor, FinHub, Division of Corporation FinancePanelists:Paul Brody – Ernst & YoungJoshua Ashley Klayman – Klayman LLCAaron Wright – Cardozo Law SchoolRemarks by Brett Redfearn, Director, Division of Trading and MarketsPanel 2: Trading and Markets… [read post]
23 Apr 2019, 7:33 pm
Scott D. [read post]
23 Apr 2019, 7:33 pm
Scott D. [read post]
20 Apr 2019, 7:50 am
Williams, Ms. [read post]
20 Apr 2019, 4:16 am
On Thursday morning, Attorney General William Barr held a press conference to discuss Special Counsel Robert Mueller’s long-awaited report on Russian electoral interference before releasing a redacted copy of the report to the public. [read post]
19 Apr 2019, 5:36 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ferree, Stuart LPL Financial LLC Invest Financial Corporation Anderson, Andy LPL Financial LLC Invest Financial Andrzejewski, Bryan Dean… [read post]
17 Apr 2019, 2:59 am
” [Scott Greenfield] Remington will seek certiorari review at U.S. [read post]
