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27 Dec 2023, 8:45 am
According to FINRA Disciplinary actions for November 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick Cavanagh Spartan Capital securities, LLC National Securities Corporation Michael Digioia Lampost Capital, L.C. [read post]
19 Aug 2022, 9:37 am
According to FINRA Disciplinary actions for Aug 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrew Edenbaum Allliance Global Partners National Securities Corporation Keith Esp Vanderbilt Securities, LLC LPL Financial LLC Karl Foust Jr. [read post]
4 Feb 2020, 7:04 am
However, in the current era of “event-driven” corporate securities and derivative litigation, corporations must carefully consider what positions they are taking, and when it is appropriate to make public statements about their social responsibility practices. [read post]
2 Aug 2011, 4:03 pm
Melendez, who served as Democratic Senatorial Campaign Committee chairman, said that he considers it “fundamentally wrong” for corporations to influence elections and be able to make decisions about our nation’s policies. [read post]
1 Dec 2023, 8:06 am
(CRD# 6363) of New York, NY, National Securities Corporation (CRD# 7569) of Westbury, NY, and Gilford Securities Incorporated (CRD# 8076) of Melville, NY. [read post]
25 Feb 2015, 12:00 am
Albeit that is only the tip of the medical records corporate iceberg/nightmare, the future remains even more uncertain as computer hacking escalates and national computer security issues become more involved and complicated. [read post]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National… [read post]
20 Jun 2013, 9:02 am
Indeed, data security and operational risk are the top two concerns of public company directors and general counsel, according to the 2012 Law and the Boardroom Study conducted by FTI Consulting, Inc. and Corporate Board Member. [read post]
7 Sep 2022, 9:05 pm
Prior legal regimes did not fully comprehend a world where everything would become part of warfare and national security. [read post]
12 Nov 2019, 12:26 pm
They said they have witnessed the evolving struggle between corporate operating value and break-up asset value proponents put takeover litigation and the Delaware business courts in the national spotlight. [read post]
8 Sep 2022, 12:36 pm
Riley Wealth Management after the firm acquired National Securities Corporation (NSC) has been subject to at least three customer complaints during the course of his career. [read post]
23 Aug 2016, 6:29 am
(“Nomura”) under the Securities Act of 1933. [read post]
22 Dec 2023, 9:56 am
Each category of recipients will be subject to security and confidentiality protocols, FinCEN said. [read post]
22 Dec 2020, 9:26 am
A small industry has grown up around the provision of VDP services to government agencies and corporations that do not want to run their own. [read post]
11 Dec 2018, 5:00 am
At upcoming sessions, the bloc will have to grapple with whether the EU member states whose corporations conduct the bulk of MGR research and development worldwide would be willing to share a greater degree of MGR benefits, either monetary or non-monetary, in order to secure consensus with the G-77 and China on a stronger MPA regime. [read post]
18 Feb 2019, 6:31 am
Over eighty years ago, federal securities laws were enacted to safeguard investments on national securities markets. [read post]
25 Feb 2022, 5:01 am
Political parties and national media identified these issues as the key elements to address given the outgoing administration’s controversial security management and the escalation of violence in southern Chile. [read post]
4 Dec 2020, 1:23 pm
Joseph Stone Capital, LLC Riza Hernandez Lincoln Financial Securities Corporation Wells Fargo Advisors, LLC Donald Padilla National Securities Corporation National Asset Management Jon Sanchez Independent Financial Group LLC Morgan Stanley Joseph Shimko, Jr. [read post]
21 May 2007, 9:04 pm
After years of complaints, efforts by attorneys representing investors and pressure by some consumer-friendly legislators, the National Association of Securities Dealers, Inc. [read post]
1 Aug 2019, 3:30 am
In her recent article, The Law of the Corporation as Environment Law, Professor Sarah Light makes a valuable contribution to these discussions and debates by arguing for a more expansive view of environmental law: In light of the significant impact that firms can have on the environment (often, though not always, when they are organized as publicly traded corporations), this Article argues that the law governing the corporation throughout its life… [read post]
