Search for: "Tyler Broker"
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29 Nov 2009, 5:06 pm
 Tyler Cowen has a different view. [read post]
12 May 2009, 4:48 pm
Rick is a licensed customs broker and served as director of trade compliance for several large companies before joining Tyler Search. [read post]
15 Aug 2008, 6:54 pm
Broker Misconduct It is wrong for a stockbroker to misappropriate investor funds for personal use. [read post]
25 Jul 2008, 10:27 pm
Kaplar, vice president of The Media Institute, at the Institute's Media & Communications Policy Blog Constitutional problem with the family code - Texas attorney Jeff Rambin in his Tyler Appeals Blog Pyrrhic victory: brokers win one, lose two - New York lawyer Angelo Tartaro of Rogers & Tartaro in the firm's Business Litigation Blog Removal papers argue Consumer Fraud Act Claim sounds in copyright - Illinois attorney R. [read post]
4 Jun 2008, 5:27 pm
CCA launches Criminal Justice Integrity Unit - Texas attorney Jeff Rambin in his Tyler Appeals Blog Western transmission, solar environmental impacts, on Feds' to-do list - San Francisco journalist Dennis Pfaff blogging at Thelen's Climate Law Update Real estate investment pioneers - New York real estate broker Douglas Heddings at his blog, True Gotham New Jersey Supreme Court decides medical monitoring case in drug context - Philadelphia attorney Sean Wajert of… [read post]
29 May 2008, 2:09 pm
For example, Karen Tyler, President of the North American Securities Administrators Association, said, "we applaud the joint efforts of the states and FINRA, working together, to produce this important proposal, which will help protect investors from unscrupulous brokers. [read post]
12 May 2008, 8:53 am
According to Tyler, "Our focus is to determine what conduct took place at the point of sale - what was potentially misrepresented and omitted - and our goal is securing for investors access to their cash as requested. [read post]
24 Apr 2008, 3:42 pm
Tyler says that task force members are focused on determining whether any broker violations, including omission and misrepresentation, took place during the point of sale. [read post]
23 Apr 2008, 2:28 pm
Of note, the Bond Market Association in 2006 published Best Practices for Broker-Dealers of Auction-Rate Securities. [read post]
17 Apr 2008, 11:22 am
No one knows whether this effort by the states to force broker-dealers to inject some liquidity into the auction-rate market by means of regulatory investigation will work. [read post]
4 Sep 2007, 3:01 pm
Affinity Fraud occurs when a stock broker or financial adviser gains the trust of the customer by using his status as a member of a group with which the customer is also affiliated. [read post]
15 Jun 2007, 4:48 pm
" First, from Tyler Cowen, Loose Reins on U.S. [read post]
