Search for: "Associated Terminals, LLC"
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30 Nov 2023, 4:50 am
The university also argues that Speech First, whose clients are all anonymous, lacks associational standing because it did not identify a named client who was injured. [read post]
29 Nov 2023, 2:23 pm
(CRD#:5685), Alpena, MI, B, 03/25/2017 – 02/09/2018, MML INVESTORS SERVICES, LLC (CRD#:10409), ALPENA, MI B, 10/08/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. [read post]
28 Nov 2023, 7:42 am
Petersburg, FL, and Pruco Securities, LLC. [read post]
15 Nov 2023, 8:55 am
On December 17, 2021, Raymond James reportedly filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Fagan voluntarily terminated his association with the firm. [read post]
15 Nov 2023, 6:26 am
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
14 Nov 2023, 9:01 pm
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
13 Nov 2023, 4:07 am
The petitioner alleged that because the LLC had no written operating agreement as required by LLC Law Section 417(a), the entity did not attain LLC status and therefore had to be treated as a partnership. [read post]
10 Nov 2023, 7:29 am
LPL Financial terminated Terzis’ employment on February 15, 2022, and submitted a Form U5 to FINRA. [read post]
8 Nov 2023, 6:53 am
The court also granted review in four-time relist National Rifle Association of America v. [read post]
2 Nov 2023, 6:55 am
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]
1 Nov 2023, 10:57 am
If Luley fails to request termination of the suspension he will automatically be barred on October 24, 2023, from association with any FINRA member in all capacities. [read post]
27 Oct 2023, 10:41 am
This effectively terminates the firm’s ability to conduct business in the securities industry. [read post]
26 Oct 2023, 12:50 pm
She continued her association with the aggregator as a senior vice president until July 2023 when she was placed on administrative leave, and the firm terminated its relationship with her in September, according to reports. [read post]
25 Oct 2023, 9:15 am
Unwired Global Systems LLC (associated with high volume plaintiff, Jeffrey Gross) adds another seven defendants to its campaign, asserting a single patent related to home area network middleware interfaces and inventor-controlled Optimum Imaging Technologies LLC filed suit against six defendants asserting patents related to, not surprisingly, digital imaging, bringing the total number of defendants to seven. [read post]
25 Oct 2023, 9:15 am
Unwired Global Systems LLC (associated with high volume plaintiff, Jeffrey Gross) adds another seven defendants to its campaign, asserting a single patent related to home area network middleware interfaces and inventor-controlled Optimum Imaging Technologies LLC filed suit against six defendants asserting patents related to, not surprisingly, digital imaging, bringing the total number of defendants to seven. [read post]
24 Oct 2023, 9:01 pm
I’d like to start by returning to a theme that I’ve touched on before, and that is how public trust in our institutions is faltering.[1] No sector is immune from this trend. [read post]
11 Oct 2023, 11:17 am
Bank of America, require banks to pay at least 2% interest annually on escrow accounts associated with residential mortgages. [read post]
5 Oct 2023, 2:38 pm
National Rifle Association of America v. [read post]
5 Oct 2023, 7:26 am
The client was claiming that he had entered a settlement agreement with a company because of a wrongful termination. [read post]
5 Oct 2023, 7:15 am
O’Toole is a past chair of the Delaware State Bar Association committee responsible for proposing amendments to that statute and to Delaware’s limited partnership and general partnership laws. [read post]
