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21 Sep 2010, 6:39 am
Today’s blog comes courtesy of Denise Wymore, owner of consulting service for cooperatives, Denise Wymore, LLC. [read post]
16 May 2014, 5:15 pm
During the same time period however, no compensation was received for such accomplishments as having surprise branch inspections by regulators conclude with the outcome of “no findings”, or having a total lack of customer complaints within the branch, or for having developed and implemented systems to assure thorough supervision of brokers within the branch was occurring. [read post]
26 Dec 2021, 7:31 am
Beginning in January 2022, WLO will have a branch office located at the Centrepolis Accelerator on the campus of Lawrence Technological University. [read post]
12 May 2023, 9:11 am
In its most recent iteration, TransUnion LLC v. [read post]
16 Oct 2015, 5:53 am
., a former broker in UBS’s Guaynabo branch in Puerto Rico, persuaded investors to use funds from lines of credit with UBS Bank USA to purchase additional shares in UBS closed-end funds profiting at least $2.8 million.UBS will pay the SEC $15 million plus interest, $7.5 million in fines to FINRA and $11 million in restitution to 165 of the UBS customers who suffered losses in closed-end fund positions.It has been suggested by the SEC’s director of enforcement, Andrew Ceresney,… [read post]
12 May 2023, 9:11 am
In its most recent iteration, TransUnion LLC v. [read post]
23 Apr 2023, 9:30 pm
In its most recent iteration, TransUnion LLC v. [read post]
4 Dec 2023, 10:00 pm
Bank N.A. v Logan Estates, LLC [read post]
5 Oct 2011, 3:17 pm
Edwards & Sons, Inc. and its successor firms, Wachovia Securities, LLC and Wells Fargo Advisors, LLC. [read post]
7 Dec 2021, 11:20 am
The advisors worked in Credit Suisse’s Chicago branch and were terminated without cause when the firm closed its US private bank. [read post]
18 Jun 2023, 11:10 am
What would the impact be when the conservative Montana legislative branch sides with the executive branch? [read post]
7 Feb 2020, 12:55 pm
Branch (“Dr. [read post]
5 Sep 2017, 3:15 am
September 7, 2017 - 2 PM: Peoples Club of Nigeria International Princeton Junction, NJ Branch, Inc., Peoples Club of Nigeria International-Miami Branch and Peoples Club of Nigeria International-Chicago Branch v. [read post]
14 Oct 2015, 2:09 pm
Santander Securities is headquartered in San Juan, Puerto Rico, and has approximately 720 registered representatives throughout 690 branch offices. [read post]
20 Aug 2011, 9:01 am
The Michigan Departments of Community Health (MDCH) and Agriculture and Rural Development (MDARD) are issuing a public health alert regarding E. coli O157 gastrointestinal illnesses linked to the consumption of ground beef from McNees Meats and Wholesale LLC, a meat-processing and retail establishment in North Branch, Mich. [read post]
7 Mar 2024, 1:09 pm
Background: LPL Financial LLC LPL Financial LLC, a long-standing member of FINRA since 1973, operates as a significant player in the securities industry and is one of the larger “independent” FINRA firms. [read post]
17 Aug 2011, 3:00 am
The case of the day is Tiffany (NJ) LLC v. [read post]
15 Aug 2012, 8:03 am
In Notice 2012-52 the Service provides the following: If all other requirements of § 170 are met, the Internal Revenue Service will treat a contribution to a disregarded SMLLC that was created or organized in or under the law of the United States, a United States possession, a state, or the District of Columbia, and is wholly owned and controlled by a U.S. charity, as a charitable contribution to a branch or division of the U.S. charity. [read post]
15 Aug 2012, 8:04 am
In Notice 2012-52 the Service provides the following: If all other requirements of § 170 are met, the Internal Revenue Service will treat a contribution to a disregarded SMLLC that was created or organized in or under the law of the United States, a United States possession, a state, or the District of Columbia, and is wholly owned and controlled by a U.S. charity, as a charitable contribution to a branch or division of the U.S. charity. [read post]
7 Dec 2021, 9:16 pm
The Hawai‘i Department of Health’s (DOH) Food Safety Branch issued a red “closed” placard and immediately shut down Lahaina Sports Bar, located at 843 Wainee St., due to a cockroach infestation. [read post]
