Search for: "Financial Industry Regulatory Authority"
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13 Mar 2020, 1:53 am
Wolf Sauter and Lord Justice Arnold in discussionThe final topic of the day was Global Health, Alternatives to IP, Concluding Talk & Discussion with the penultimate presentation from Wolf Sauter (Free University of Amsterdam)in his academic capacity (rather than officially representing his regulatory perspective from the Netherlands’ Authority for Consumers and Markets). [read post]
4 May 2021, 1:08 pm
A SPAC will typically target an identified industry sector or geographic region. [read post]
21 Aug 2018, 9:17 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
28 Aug 2018, 6:27 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Joel Flaningan (Flaningan) appears to be an agent for Woodbridge fraudulent note sales. [read post]
30 Aug 2016, 3:38 pm
The Roundtable is not affiliated with any EB-5 industry organization, regional center, offeror of EB-5 securities or job-creating recipient of EB-5 funds, and it receives no outside financial contributions. [read post]
10 Mar 2017, 2:36 pm
In the fashion industry, blockchain is being used as an anti-counterfeiting and anti-diversion tool. [read post]
22 Aug 2018, 6:26 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Alan New (New) appears to be an agent for Woodbridge fraudulent note sales. [read post]
31 Mar 2023, 7:01 am
Attorney’s Office for the District of New Jersey, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority. [read post]
1 Jul 2018, 4:40 am
The Federal Industry Regulatory Authority (FINRA) mandates brokers to advise suitable investments for the customer by following certain criteria. [read post]
5 Jul 2018, 8:18 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Frank Dietrich (Dietrich) appears to be an agent for Woodbridge fraudulent note sales. [read post]
24 Oct 2011, 12:50 pm
However, the authors' clearly understand that every industry must play a part, especially the financial and healthcare industries. [read post]
7 Sep 2018, 6:56 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) John Ernst (Ernst) appears to be an agent for Woodbridge fraudulent note sales. [read post]
12 Jun 2012, 9:22 am
” Furthermore, Kelly also points out a May 2011 “complaint” brought against David Lerner Associates Inc., a broker-dealer firm, by the Financial Industry Regulatory Authority Inc. [read post]
15 Mar 2019, 7:29 am
The regulator said that Wedbush even disregarded an email from a customer reporting the fraud, as well as a number of Financial Industry Regulatory Authority (FINRA) arbitrations claims and inquiries over Delorme’s trading activities involving penny stocks. [read post]
15 Sep 2017, 9:04 am
Free Consultation This information, which is publicly available on the Financial Industry Regulatory Authority’s website, has been provided by The White Law Group. [read post]
11 Mar 2010, 12:42 pm
More broadly, he said that it was essential to fulfill the G-20 commitment to avoid discrimination and maintain a level playing field in regulating the alternative investment fund management industry.Recently, Dan Waters, Director of Asset Management at the Financial Services Authority, said that the revised proposed Alternative Investment Fund Managers Directive would restrict the access of EU institutional investors to valid investment opportunities in US hedge funds while… [read post]
2 Mar 2021, 1:59 pm
” Following Raskin’s Termination From Merrill Lynch, FINRA Investigates According to the Financial Industry Regulatory Authority (FINRA), after Merrill Lynch reported Raskin’s discharge, FINRA started an investigation that included sending requests for production of information and documents to Raskin. [read post]
30 Aug 2016, 3:38 pm
The Roundtable is not affiliated with any EB-5 industry organization, regional center, offeror of EB-5 securities or job-creating recipient of EB-5 funds, and it receives no outside financial contributions. [read post]
23 Sep 2018, 2:53 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Donna Barnard (Barnard) appears to be an agent for Woodbridge fraudulent note sales. [read post]
30 Aug 2016, 3:38 pm
The Roundtable is not affiliated with any EB-5 industry organization, regional center, offeror of EB-5 securities or job-creating recipient of EB-5 funds, and it receives no outside financial contributions. [read post]
