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21 Jul 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred David Chu (Chu) concerning allegations Chu refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities and private securities transactions. [read post]
24 Feb 2009, 6:09 am
...over at Volcanic Ash - By asking the Legislature for a moratorium on ceded land sales, however, OHA possibly undermines its legal case that such sales are unlawful by tacitly conceding that the Legislature and the state have the right to sell the lands or not as they see fit.And by rejecting OHA's request for a moratorium in favor of the two-thirds vote to approve ceded land sales, the Senate is hanging onto the state's right to sell ceded lands… [read post]
8 Oct 2017, 7:28 am
Brokerage firms that sell private placements have obligations to conduct due diligence on the investment before recommending it to their clients. [read post]
28 Sep 2023, 6:04 am
David: Yes. [read post]
5 Nov 2008, 2:37 pm
Grant Wahl is reporting that David Beckham doesn't really have a five year contract with the MLS, what he has is a three year guaranteed deal and an option for two more. [read post]
12 Feb 2015, 5:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker David Lavine (Lavine) concerning allegations that Lavine engage in private securities transactions also known as “selling away. [read post]
19 Jan 2016, 12:11 pm
Instead of outright selling his songwriting, performance, and licensing rights to his many successful songs, in 1997 Pullman helped Bowie create “Bowie Bonds. [read post]
16 Jul 2018, 7:32 am
In addition, brokerage firms are responsible for conducting due diligence on the securities products they sell and devising a written supervisory system to achieve compliance with the securities laws. [read post]
21 Jan 2016, 12:16 pm
Bowie was able to retain ownership of his work rather than selling the copyright, and he was then granted complete ownership of the rights after the ten-year period. [read post]
22 Oct 2010, 3:15 pm
If you mother has plans to sell her house, then it is always best to take care of these issues before applying for A&A. [read post]
18 Sep 2014, 12:00 pm
For more information on transferring property before and during bankruptcy, contact the Law Office of David M. [read post]
27 Jul 2018, 7:54 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) David Scholl (Scholl) appears to be an agent for Woodbridge fraudulent note sales. [read post]
11 Aug 2011, 2:50 pm
The SEC is alleging that Stifel and Senior Vice President David W. [read post]
23 Nov 2019, 8:55 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor David Rockwell (Rockwell) was discharged by his employer after being accused of misappropriating client funds. [read post]
1 Jun 2011, 3:31 pm
FINRA has accused David Lerner Associates of misleading investors by selling shares in illiquid real estate investment trusts, or REITs, to unsophisticated and elderly customers. [read post]
11 Jan 2012, 11:39 am
This post, by David Pettit of the Natural Resources Defense Council, is part of an occasional series by guest bloggers. [read post]
21 May 2019, 1:46 pm
Fagenson is registered to sell securities in California, New York, and Florida. [read post]
15 Jul 2010, 5:01 pm
The article Accurate Metadata Sells Books by Calvin Reid in Publishers Weekly discusses how important accurate metadata about books and ebooks is to the publishing industry. [read post]
21 Jan 2011, 2:35 pm
If you have lost money investing with Forrest David Laidley or in Forrest Properties, you may be eligible for an immediate theft loss tax deduction of up to 95% of your losses. [read post]
29 Nov 2017, 5:00 am
David Evans, Global Economics Group has a new paper in The Economics of Attention Markets. [read post]
