Search for: "Compli, Inc."
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18 Jun 2012, 12:48 pm
RC3, Inc. v. [read post]
15 Feb 2017, 4:00 am
Martin Lumber Company, Inc. [read post]
16 May 2024, 6:14 am
Read DOJ Catch of the Week: Kabbage Inc. at constantinecannon.com [read post]
6 Oct 2022, 9:56 am
(Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’ electronic equity orders. [read post]
19 Nov 2010, 6:22 am
ABOVE: Pinnacle Aircraft Parts HQ The Office of Foreign Assets Control (“OFAC”) released civil penalty information revealing that Pinnacle Aircraft Parts, Inc., agreed to pay $225,000 to settle allegations that Pinnacle had failed to comply with an OFAC subpoena. [read post]
29 Mar 2010, 3:12 pm
Athletic Field, Inc. [read post]
10 Jun 2024, 2:43 am
To screen applicants, CVS administered a video-interview technology developed by a company called HireVue, Inc. [read post]
27 Apr 2022, 12:56 pm
According to FINRA Disciplinary actions for March 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 Joseph Likens LPL Financial LLC Cornerstone Wealth Management, LLC Guy Newman GVC Capital LLC Bathgate Capital Partners LLC John Santariello Arive Capital Markets Cape Securities Inc. [read post]
1 Jun 2022, 8:31 am
According to FINRA Disciplinary actions for May 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 Kevin Harms Chelsea Financial Services Salomon Whitney Financial David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
9 Oct 2020, 4:51 am
Inc. v. [read post]
26 Jan 2009, 8:25 am
Laserdynamics, Inc. v. [read post]
21 Jul 2022, 4:59 am
“Brokerage firms are required to supervise their advisors to make sure that they are complying with FINRA rules. [read post]
24 Feb 2015, 4:00 am
In Two Jinn, Inc. v. [read post]
6 Feb 2007, 1:51 am
Source: Fortiva Inc. [read post]
19 Apr 2019, 5:33 am
The post FINRA’s March 2019 Disciplinary Actions Name Individuals Barred for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
15 Feb 2008, 4:52 pm
" He adds, "Threats issued by debt collectors must be both 1) permitted by law, and 2) actually intended to be carried out to comply with the FDCPA. [read post]
23 Feb 2017, 11:23 am
In a major development for cloud and other data storage providers, and further complicating the legal landscape for the cross-border handling of data, a Federal Magistrate Judge in the Eastern District of Pennsylvania ruled for the Department of Justice and ordered Google, Inc., to comply with two search warrants for foreign-stored user data. [read post]
18 Dec 2008, 8:32 am
Thus, the exercise of the court's discretion to dismiss the appeals for failure to prosecute and to comply with court orders was warranted. [read post]
8 May 2018, 8:53 am
Legend Securities, Inc. [read post]
25 Mar 2010, 10:13 am
Athletic Field, Inc. [read post]
