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9 Oct 2009, 3:20 pm
Further, the International Dealer would, within one month of the Effective Date, have to provide notice to the applicable regulator of their intention to rely on the Decision along with the Form 31-103F2 – Submission to Jurisdiction and Appointment of Agent for Service. [read post]
15 Mar 2017, 11:05 am
According to his FINRA Broker Check, Bauer was registered with H. [read post]
15 Jun 2009, 6:55 am
The order to show cause gives the broker-dealer 28 days to show cause to the ASC as to why its registration as a broker-dealer and agent in Alabama should not be revoked. [read post]
30 Jun 2018, 12:48 pm
Woodbridge and its agents have been sanctioned by multiple state regulators for offering unregistered securities. [read post]
13 Jun 2010, 9:25 pm
AOL determined that the “knifeisland@aol.com” account was registered to Richardson at 2541 Pine View Lane, Apartment H, Gastonia, North Carolina. [read post]
22 Aug 2018, 6:26 am
Woodbridge and its agents have been sanctioned by multiple state regulators for offering unregistered securities. [read post]
10 Nov 2011, 11:31 am
According to the article, The Massachusetts Association of Insurance Agents (MAIA) said it is preparing member agencies to start gathering 69,000 signatures to register voters to put this question on the 2012 state ballot. [read post]
23 Sep 2018, 2:53 pm
From April 2013 through June 2014 Barnard was registered with Signal Securities, Inc. [read post]
4 Feb 2009, 8:18 am
In Morocco, Mohamed was handed over to agents of Moroccan intelligence who detained and tortured him for the next 18 months. [read post]
16 Jan 2010, 12:08 pm
Martindale-Hubbell has also honored him with a listing in their Bar Register of Preeminent Lawyers. [read post]
22 Aug 2014, 12:47 pm
Personal service on a non-natural person, such as a corporation or trust, may be made by serving the registered agent or other person or agent authorized by law to accept service. [read post]
20 Mar 2013, 1:20 pm
And if it's not clear whether or not it's "broke," then it behooves us to step back, take a deep breath, and make darned sure before we start "fixing" things.Case in point: NARAB (National Association of Registered Agents & Brokers).As we discussed the other day, this is a case of one proposed organization supplanting an existing, fully functional one, with no obvious answer to the question "cui bono?" [read post]
21 Dec 2013, 11:33 am
The e-mails between the defendant and the agent contain information regarding the age of the minors in tapes the defendant attempted to purchase. [read post]
21 May 2013, 10:00 am
— No company with a class of securities registered under section 12 of the Securities Exchange Act of 1934 (15 U.S.C. [read post]
15 May 2008, 1:47 pm
When it learned that Brooks had not yet applied for the license, it charged him with engaging in unlicensed brokering activities without first having registered as a broker with DDTC. [read post]
4 Jul 2014, 3:00 am
If any of these gTLDs could be of value to you or your brand, or are of concern — remember that, as a registered agent of ICANN’s Trademark Clearinghouse, we can help develop and implement your gTLD strategy. [read post]
25 Aug 2014, 3:06 pm
Namba signed the document as an associate licensee of the selling agent CB. [read post]
18 Jun 2015, 6:03 am
NSC has 760 registered representatives in 140 branch offices. [read post]
15 Jul 2012, 11:46 pm
Part of the register would be closed (for example landlords renting through an agent could choose to have their ownership kept confidential). [read post]
23 Oct 2015, 7:11 am
Lastly, the proposal would also require an individual registering as a governmental affairs agent for the first time to personally appear in Commission offices to submit the annual fee and required photographs. [read post]
