Search for: "Working Group on Securities Disclosure Authority" Results 101 - 120 of 2,377
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2 Apr 2020, 4:14 pm by John Jascob
Meanwhile, the CFTC and the National Futures Association worked in tandem to address a plethora of supervisory requirements in connection with branch offices and working from remote locations. [read post]
22 Apr 2019, 1:12 pm by John Floyd
Kennedy to secure a consolation seat on the Supreme Court—and whose abrupt retirement in June 2018 quickly opened the door for Trump to nominate D.C. [read post]
10 Aug 2022, 6:14 am by The White Law Group
Update on the Investigation: Dustin Shafer & Shafer Financial Group, Springfield IL   According to an SEC administrative order, on August 9, 2022 the Securities and Exchange Commission reportedly barred financial advisor Dustin Paul Shafer (CRD # 4198962) from working in the securities industry after charges by the State of Illinois alleged broker misconduct including allegations that he borrowed money from an elderly client. [read post]
11 Apr 2016, 4:22 am by Mieke Eoyang, David Forscey
Such a working group could advise European data protection authorities on the appropriate controls that should exist within a country, and help advise on technical aspec [read post]
4 Nov 2016, 8:54 am by Renae Lloyd
Key words: Barred brokers working, securities fraud attorney, FINRA, Investment fraud, stock broker fraud, barred brokers investment advisors [read post]
13 Nov 2017, 1:24 pm by Renae Lloyd
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
22 Nov 2019, 12:44 pm by Renae Lloyd
When brokers violate securities laws, such as participating in private securities transactions, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
27 Apr 2017, 2:32 pm by Renae Lloyd
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
1 Aug 2019, 11:15 am by Renae Lloyd
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
13 Jan 2021, 7:01 am by Renae Lloyd
When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
25 Apr 2019, 12:33 pm by Renae Lloyd
Bashaw, who has worked in the securities industry for 33 years, was reportedly named a top adviser in Texas by Barron’s magazine in 2011 with $3.8 billion in total client assets. [read post]
17 Feb 2023, 5:06 am by The White Law Group
No previous arbitration, securities, or legal experience is required, only five years of paid work experience and two years of college level credits is required to become an arbitrator. [read post]
19 Feb 2013, 11:01 am by Debra A. McCurdy
Rotella, Jr. (215-851-8123 or srotella@reedsmith.com), or any other member of the Reed Smith Health Care Group with whom you work, if you would like additional information or if you have any questions. [read post]
11 Dec 2017, 10:59 am by Renae Lloyd
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
6 Jun 2016, 11:40 am by Cory Doctorow
This exit condition is for the group to continue its work on arriving at a consensus agreement on protecting security disclosure and independent reimplementation, reflecting a compromise that all parties can live with. [read post]