Search for: "Investigative Staff"
Results 8641 - 8660
of 22,235
Sorted by Relevance
|
Sort by Date
4 Apr 2019, 7:23 am
The crux of the SEC’s Order alleges that Wedbush early-on became aware of certain aspects of the registered representative’s securities law violations, but that “its supervisory policies and implementation systems failed reasonably to guide staff on how to investigate the activity. [read post]
30 Sep 2008, 2:15 pm
Poliner agreed to an abeyance or temporary restriction of his cardiac catheterization lab privileges to allow for an investigation as provided by the Medical Staff Bylaws. [read post]
8 Jul 2019, 1:42 pm
Said request sought the production of documents and information by April 10, 2019, and Hopkins‘ counsel, on April 18, 2019, reportedly informed FINRA staff by e-mail that Hopkins would not produce the documents and information requested, the AWC stated. [read post]
12 Dec 2017, 4:43 am
Many of these incidents were either insufficiently investigated or not investigated at all. [read post]
20 Oct 2008, 6:12 pm
(/sarcasm).Other items like drugs or cigarettes can be smuggled through the mail but only guards and prison staff can get cell phones past metal detectors. [read post]
7 Jul 2015, 4:00 am
The system eliminates the need for staff assistance (and the dangers that go along with having multiple people touch the database and possibly corrupt the data). [read post]
12 Dec 2017, 4:43 am
Many of these incidents were either insufficiently investigated or not investigated at all. [read post]
28 May 2021, 1:12 pm
The FCC rejected that argument and reiterated that “parties who rely on staff advice or interpretations do so at their own risk. [read post]
13 Jan 2011, 4:23 am
In the event that the SEC Enforcement Staff determines that the company has failed to comply with any of its obligations under the agreement (such as the obligation to cooperate), the Staff may then proceed with an enforcement recommendation to the Commission. [read post]
18 Jun 2011, 10:40 pm
In addition, on June 11, 2011, the Cambodian Daily, a local non-profit news media in Cambodia, reported at least five international staff in the Co-Investigating Judges resigned over their disagreement with their superior handling of the investigation in Case003/004.These latest very public acrimonious debates over Case 003/004 have overshadowed much progress made by the ECCC since its inception. [read post]
2 Mar 2021, 2:49 pm
To the extent that SEC staff concludes that individuals or other traders engaged in manipulation of the price of Game Stop stock or of other securities, there could be further investigative or enforcement action. [read post]
18 Aug 2016, 7:16 am
Exam not just an “investigative tool. [read post]
18 Jun 2019, 2:02 pm
Risk Mitigant: The FDIC recommends that financial institutions should maintain tracking logs covering the various timing requirements to ensure compliance with Regulation E’s requirements from the time an error is alleged to the time an investigation is completed, and train new staff and conduct periodic refresher training for existing staff to ensure that personnel understand Regulation E requirements. [read post]
19 Jan 2018, 4:36 pm
A handful of Deputy Commissioners and Chiefs of Staff would also remain on staff or on call as needed. [read post]
4 Oct 2019, 3:00 am
House investigators are now seeking records about Giuliani’s past clientele in Ukraine, including Pavel Fuks, a wealthy developer who financed consulting work Giuliani did for the city of Kharkiv. [read post]
10 Dec 2020, 8:30 pm
Hunter Biden said he had been contacted about a tax investigation out of the U.S. attorney’s office in Delaware. [read post]
Employer reaction to employee’s alleged off-duty rapes by coworker could be hostile work environment
2 Aug 2017, 8:24 am
The officer was immediately placed on paid administrative leave, and at a staff meeting, the district manager (DM) told employees he was on leave because of a confidential, ongoing investigation. [read post]
31 Aug 2022, 3:46 pm
At each stage of this investigation, including the search itself, the Justice Department has been careful to resist releasing additional information about the probe—only for Trump to open the door for the department to weigh in by complaining about the investigation. [read post]
8 Dec 2019, 8:00 am
” The Republican document, however, does not dispute that Trump asked Zelensky for the investigations of the Crowdstrike matter and of Burisma—and that the Burisma investigation was effectively an investigation of Hunter Biden. [read post]
3 Aug 2014, 10:47 am
CRA staff see this as surely as the rest of us and know who the government is concerned about. [read post]
