Search for: "US Security Associates Inc"
Results 1161 - 1180
of 6,147
Sorted by Relevance
|
Sort by Date
8 Jul 2019, 1:42 pm
Hopkins has not been registered or associated with a FINRA member firm since that time, the AWC notes. [read post]
4 Sep 2016, 6:56 am
In May 2016 the Department of Justice (DOJ) filed a five-count indictment in New York against nine defendants including Jared Mitchell, the Managing Partner of Mitchell & Sullivan Capital LLC; Richard Brown, a registered broker with Chelsea Financial Services; Christopher Castaldo, the Chief Executive Officer of Stock Traders Press Inc. and the President of Wall Street Buy Sell Hold Inc.; Gerald Cocuzzo, also known as “Gerry,” a registered broker formerly with… [read post]
1 Dec 2021, 10:30 am
Sheppard Mullin partner Don Pelto and associates Kazim Naqvi, Rebecca Mackin, and Tom Carr were also key members of the trial team. [read post]
1 Dec 2021, 10:51 am
Sheppard Mullin partner Don Pelto and associates Kazim Naqvi, Rebecca Mackin, and Tom Carr were also key members of the trial team. [read post]
2 Feb 2010, 12:54 am
Please email us if you would like us to add your event to this list. **** February 1-2 Sponsor: Financial Research Associates Event: Investment Advisor Compliance and Hedge Fund Regulation and Compliance Location: New York, NY February 2 Sponsor: Eze Castle Integration Event: The Future & Implications of Hedge Fund Regulations Location: London February 2 Sponsor: 100 Women in Hedge Funds Event: Trivia Challenge and Fundraiser Location: London … [read post]
1 May 2018, 1:09 pm
The Board compared the claims to the dynamic-display electronic securities trading claims in Trading Technologies International, Inc. v. [read post]
30 Apr 2018, 2:00 am
The Board compared the claims to the dynamic-display electronic securities trading claims in Trading Technologies International, Inc. v. [read post]
5 Nov 2023, 3:10 pm
Cyber Events Trigger Substantial HIPAA Exposure Unless Security Rule Met The HIPAA Security Rule at 45 C.F.R. [read post]
26 May 2019, 5:45 am
Then from February 2017 until November 2017 Woodard was associated with IFS Securities. [read post]
27 Jan 2016, 11:51 am
Nicholas & Associates, Inc. [read post]
23 Mar 2016, 9:11 am
From February 2009 until October 2012, Benanti was associated with EKN Financial Services Inc. [read post]
23 Jun 2022, 6:32 am
In the latest salvo, on 25 May the US Securities and Exchange Commission (SEC) voted 3:1 to approve two proposals enhancing scrutiny of ESG funds and advisers’ ESG practices. [read post]
23 Jun 2022, 6:32 am
In the latest salvo, on 25 May the US Securities and Exchange Commission (SEC) voted 3:1 to approve two proposals enhancing scrutiny of ESG funds and advisers’ ESG practices. [read post]
10 Nov 2023, 5:58 am
” Trump has also associated himself with the “January 6 Choir,” which the government describes as “a group of particularly violent January 6 defendants detained at the District of Columbia jail. [read post]
8 May 2020, 12:02 pm
Contact us today. [read post]
20 May 2015, 9:49 am
Chatterjee solicited investments in a nutrient supplement company, but used that money to pay off investors who thought they invested in the fixed rate securities. [read post]
2 Aug 2022, 5:01 am
China’s cybersecurity regulator fined Didi Global Inc. $1.2 billion on July 21 for violating cybersecurity and data laws, drawing to a close a year-long probe into the ride-hailing giant. [read post]
18 Feb 2014, 2:38 pm
I went on to become an arbitrator for NASD Dispute Resolution, Inc., now known as FINRA, which is the forum where approximately 90% of all securities disputes are resolved. [read post]
23 Aug 2010, 5:48 am
Petitioners NetCoalition and the Securities Industry and Financial Markets Association sought review of the SEC Order on three grounds. [read post]
26 Feb 2013, 9:02 am
Dear Colleague, Managing IP, in association with Delaware IP Law Blog, invites you to attend the second annual US Patent Forum March 19, 2013 at the Willard InterContinental in Washington D.C. [read post]
