Search for: "National Association Of Securities Dealers, Inc."
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15 Dec 2022, 4:00 am
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
25 Nov 2022, 12:30 pm
Plaintiffs who allege they are the heirs to owners of beachfront Cuban properties that were nationalized after the 1959 revolution sue … U.S. travel websites? [read post]
9 Nov 2022, 11:31 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
24 Oct 2022, 12:15 am
It was formed in 2007 by the combination of the National Association of Securities Dealers, Inc. and the regulatory arm of the New York Stock Exchange, Inc. [read post]
7 Oct 2022, 12:37 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
5 Oct 2022, 8:34 am
In July, the SEC charged broker-dealer Western International Securities, Inc. [read post]
26 Sep 2022, 1:56 pm
Scott Silver is a nationally recognized investor advocate and the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
19 Sep 2022, 8:37 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
16 Sep 2022, 4:00 am
National/Federal A Record Number of Black Candidates for Higher Offices Aim to Reshape U.S. [read post]
12 Sep 2022, 5:39 am
The Location Based Marketing Association's 2020 survey of 871 companies found that 95% of companies worldwide use location-based digital services. [read post]
9 Sep 2022, 8:12 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
8 Sep 2022, 5:55 am
” Senator Larry Craig, PLCAA’s main sponsor and a member of the National Rifle Association Board of Directors since 1983, said that they had crafted “a very narrow exception in the law so that we still hold those accountable for their actions under all laws. [read post]
26 Aug 2022, 10:26 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
26 Aug 2022, 4:00 am
Senate hopefuls are getting crushed on airwaves across the country while their national campaign fund is pulling ads and running low on cash, leading some campaign advisers to demand an audit of the National Republican Senatorial Committee’s (NRSC) finances. [read post]
24 Aug 2022, 5:01 am
The Securities and Exchange Commission (SEC) conducts regular examinations of broker-dealers and investment firms and has made “identification and assessment of cybersecurity risks” one focus of those exams since at least its 2014 Risk Alert. [read post]
19 Aug 2022, 8:54 am
In 2013, FINRA announced in a regulatory notice that the scope of Rule 8210 had been clarified, stating that “all aspects of the relationship between a broker-dealer and its associated persons are potentially the subject of a Rule 8210 request. [read post]
18 Aug 2022, 5:21 am
Morgan Securities Ocean Financial Services, LLC Trust Investment Services, Inc. [read post]
8 Aug 2022, 11:39 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
17 Jun 2022, 7:23 am
According to a press release on June 16, 2022, the Securities and Exchange Commission charged registered broker-dealer Western International Securities, Inc. and five of its brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan – with violating Reg BI (Regulation Best Interest) when they recommended and sold bond offerings from GWG Holdings, an unrated, high-risk debt security to retirees and other… [read post]
15 Jun 2022, 2:51 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
