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2 Sep 2015, 7:38 am
A broker must first discuss all trades with the investor before executing them. [read post]
12 Sep 2011, 1:03 am
SEC Seeks to Enforce Subpoena Against Longtop Financial Auditor: The SEC is going on the warpath to try to enforce a subpoena that it served on Longtop Financial’s former auditor, Deloitte Touche Tohmatsu (DTT), which is the Shanghai-based affiliate of the global accounting firm, Deloitte Touche. [read post]
22 Dec 2020, 5:44 pm
We have consulted other experts and former officials from both parties. [read post]
23 Feb 2009, 8:21 am
Critics of the bill, such as consultant Marc Hodak of Hodak Value Advisors, say this language could be interpreted to bar any incentives based on earnings per share or other financial metrics. [read post]
11 May 2016, 6:54 am
If your POA is refused or challenged, consult an attorney. [read post]
1 May 2019, 12:16 pm
Our consultations are free of charge and the firm is only compensated if you recover. [read post]
14 May 2010, 12:10 pm
The European Commission (EC), the executive arm of the European Union, likely will release a "green paper" later this month outlining governance reforms for issuers in Member States.The reforms would initially apply solely to financial services companies, though, officials say, non-financial corporations would also be subject to any final guidance at a later date. [read post]
7 Oct 2010, 2:19 pm
The SEC is seeking disgorgement of ill-gotten gains, financial penalties, and injunctive relief. [read post]
14 May 2010, 12:10 pm
The European Commission (EC), the executive arm of the European Union, likely will release a "green paper" later this month outlining governance reforms for issuers in Member States.The reforms would initially apply solely to financial services companies, though, officials say, non-financial corporations would also be subject to any final guidance at a later date. [read post]
16 Nov 2006, 11:53 am
Mentions: PSS Systems - web site | Socha Consulting listing [read post]
28 Dec 2008, 4:15 pm
Unfortunately, criminals consider your hope as an exploitable weakness to aid them in the successful execution of their crimes.Do not get mesmerized by neatly packaged story lines and well researched sound bites written by professional high paid media consultants. [read post]
14 Sep 2017, 6:53 am
Under Rule 701, a company can offer its own securities as part of compensation agreements to employees, executives, or consultants without complying with registration requirements if total stock sales do not exceed certain limitations. [read post]
14 May 2018, 2:13 pm
After consulting with law enforcement, FinCEN found that these “types of refunds don’t pose significant money laundering and terrorist financing risks. [read post]
12 Feb 2018, 9:02 am
For a free consultation with a securities attorney, please call the firm at 888-637-5510. [read post]
10 Sep 2012, 2:38 am
The Korea European Union Chamber of Commerce, often regarded as being more of a private consulting company in that it did absolutely nothing without charging a fee, not to mention the irregularities in not paying value added tax on its magazine advertising, found itself in such tax difficulties for itself and for its top executives’ personal taxes that it had no choice but to shut down. [read post]
15 May 2018, 6:59 am
In total, Kelly Barnett executed 25 discretionary trades in the accounts of the four customers. [read post]
16 Nov 2015, 3:23 pm
Cetera Financial Group has stopped selling American Realty Capital sponsored REITs and other alternative investments. [read post]
21 Sep 2009, 6:33 am
We want to consult you on your legal options. [read post]
27 Jul 2018, 7:56 am
Our consultations are free of charge and the firm is only compensated if you recover [read post]
8 Feb 2017, 6:34 am
Our consultations are free of charge and the firm is only compensated if you recover. [read post]
