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14 Apr 2023, 9:58 am
According to FINRA Disciplinary actions for March 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 John Carroll Vanderbilt Securities, LLC National Securities Corporation Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all… [read post]
24 Jul 2008, 5:41 pm
Corporations with securities listed on a national stock exchange must comply with such rules. [read post]
8 Feb 2023, 8:54 am
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16 May 2016, 8:43 am
On May 6, 2016, the Office of the Comptroller of the Currency, Treasury (OCC), the Board of Governors of the Federal Reserve System (Board), the Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), the National Credit Union Administration (NCUA), and the U.S. [read post]
12 Apr 2013, 9:20 am
The core problem is that CISPA allows too much sensitive information to be shared with too many people in the first place, including the National Security Agency. [read post]
26 Sep 2013, 2:46 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
29 Jun 2010, 2:51 pm
Even from this side of the Atlantic, I could hear the cheers of many European scholars and practitioners – not to mention corporations – greeting the U.S. [read post]
10 Jul 2023, 8:26 am
Accordingly, the SEC alleges that because Binance and Coinbase failed to register with the SEC as brokers, national securities exchanges, or clearing agents, they have evaded the disclosure regime that Congress has established for securities markets. [read post]
15 Jan 2024, 9:48 am
In November 2023, an injunction was secured to restrain the work. [read post]
7 May 2020, 1:45 pm
FETA What is a Social Security Totalization Agreement? [read post]
6 Mar 2017, 4:26 pm
National Australia Bank, the U.S. [read post]
18 Feb 2016, 7:15 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
2 May 2023, 8:55 pm
Chang-hsien Tsai (National Tsing Hua University - Institute of Law for Science & Technology, College of Technology Management) & Ching-Fu Lin (National Tsing Hua University) have posted Shedding New Light on Multinational Corporations and Human Rights: Promises and Limits of 'Blockchainizing' the Global Supply Chain (Michigan Journal of International Law, Vol. 44, No. 1, 2023) on SSRN. [read post]
29 May 2009, 10:02 pm
While Blinder may be surprised that corporate boards have been making such silly mistakes for so long, I would think that every professor or finance, corporate governance, corporate law, securities, and a few other disciplines besides would know that one of the fundamental problems of the corporate form is aligning risk-averse managerial interests with risk-preferring, diversified, shareholder interests. [read post]
26 Sep 2023, 9:01 pm
Security Pacific National Bank, 973 F.2d 51 (2d Cir. 1992), and found they were not securities.[16] Almost thirty years later, the district court in Kirschner, relying on Banco Español, applied the Reves factors, concluding that the second, third, and fourth factors weighed strongly in favor of the syndicated loans at issue not qualifying as securities, and that the first factor did not weigh determinatively in either direction.[17] Accordingly, the… [read post]
4 Jan 2019, 12:32 pm
His previous employers include Sentra Securities Corporation (CRD #10249) and Spelman & Co., Inc. [read post]
7 Aug 2017, 8:53 am
The largest corporate tax expenditure is deferral, which moves the worldwide system of corporate taxation closer to the territorial system used by most other OECD nations. [read post]
2 Sep 2011, 8:03 am
It has recently been seeking to clarify other issues in the relationship between National Beverages and CMA, including whether National Beverage’s overall compensation plan helps determine Caporella’s pay, and whether CMA also rewards other senior corporate personnel. [read post]
27 May 2011, 7:15 am
This paper, as the Board Member article notes, shows that “Nevada corporations posted accounting restatements twice as often as the national average from 2000-2008. [read post]
3 Apr 2013, 7:20 am
In the latter scenario, companies even get to decide whether your information can be delivered to civilian agencies like the Departments of Homeland Security (DHS), Treasury, or Energy, or whether it can go to military ones like the National Security Agency (NSA). [read post]
