Search for: "National Association of Security Companies"
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17 Apr 2023, 12:40 pm
National Securities Attorneys – the White Law Group The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
18 Aug 2013, 7:59 pm
American Bar Association / Business Law TODAY July 2013: After a year of waiting, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) issued A Resource Guide to the FCPA (the Guidance) on November14, 2012 (available at www.justice.gov/ criminal/fraud/fcpa and www.sec.gov/spotlight/fcpa.shtml). [read post]
22 Dec 2016, 6:24 am
On December 1, 2016, the Securities and Exchange Commission (“SEC”) announced that it had filed a complaint for injunctive and other relief in the United States District Court for the Southern District of Florida against Onix Capital LLC (“Onix Capital”), an asset management company, and its owner, a Chilean national by the name of Alberto Chang-Rajii (“Chang”). [read post]
22 Dec 2016, 6:24 am
On December 1, 2016, the Securities and Exchange Commission (“SEC”) announced that it had filed a complaint for injunctive and other relief in the United States District Court for the Southern District of Florida against Onix Capital LLC (“Onix Capital”), an asset management company, and its owner, a Chilean national by the name of Alberto Chang-Rajii (“Chang”). [read post]
2 Aug 2017, 11:13 am
She has served as a senior program adviser in the National Examination Program and most recently as Acting Associate Regional Director in the Atlanta office. [read post]
15 Aug 2007, 12:56 pm
Companies merely engaging in business activities (even if somehow improper) ought not to have to confront the risk of a securities law violation. [read post]
21 Jun 2023, 2:28 pm
The company is not licensed in China, and its disclosure noted the uncertainty of the Chinese regulations and the associated regulatory risk. [read post]
26 Apr 2022, 6:13 am
The association believes the requested disclosure would inform investors about the risks and costs of continuing to operate in a heavily sanctioned market ruled by a government moving to nationalize industry. [read post]
24 Mar 2022, 12:59 pm
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
17 Feb 2016, 1:02 pm
Before coming to the SEC, he was an attorney at the Investment Adviser Association, FINRA, and the North American Securities Administrators Association. [read post]
12 Aug 2014, 6:18 am
Turner Company, L.L.C. [read post]
25 Oct 2015, 11:12 am
Department of Homeland Security and industry led by the National Cyber Security Alliance (NCSA). [read post]
8 Sep 2020, 8:47 am
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
7 May 2023, 7:01 am
The order punctuated the government’s efforts to address national security concerns associated with licenses for the landing and operation of undersea cables on U.S. soil. [read post]
23 Apr 2021, 12:25 pm
The post City National Bank Sued For Alleged Role In 1inMM Ponzi Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
27 Feb 2016, 12:15 pm
PAIBA is calling on FINRA to create a national recovery pool. [read post]
22 Dec 2010, 8:31 am
National Education Association out of the Ninth Circuit, can be found here, and for the ERISA practitioner, it may be more significant for its detailed analysis of the government plan exemption in ERISA than for its conclusion that the plaintiffs had overreached by relying on ERISA rather than the securities law to proceed with their case. [read post]
8 Oct 2007, 5:34 pm
The National Association of Securities Dealers (NASD) recently absorbed the regulatory unit of the New York Stock Exchange (NYSE) and changed its name to the Financial Industry Regulatory Authority (FINRA). [read post]
24 May 2021, 9:21 am
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
30 Mar 2022, 5:52 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]
