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16 Jun 2020, 6:40 am
According to FINRA Disciplinary actions for May 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS George Belesis Portfolio Advisors Alliance, LLC John Thomas Financial Dustin Blount MML Investors Services, LLC Northwestern Mutual Investment Services, LLC… [read post]
15 Jun 2020, 1:26 pm
Pierce Schultz, JD Candidate The post Mitigating Risks Associated with Hotel, Restaurant and Entertainment Industry Economic Challenges – Part 1: Introduction and Considerations When Hotels and Restaurants Default on Their Mortgages appeared first on Jimerson Birr Law Firm. [read post]
15 Jun 2020, 1:26 pm
Pierce Schultz, JD Candidate The post Mitigating Risks Associated with Hotel, Restaurant and Entertainment Industry Economic Challenges – Part 1: Introduction and Considerations When Hotels and Restaurants Default on Their Mortgages appeared first on Jimerson Birr Law Firm. [read post]
15 Jun 2020, 12:05 am
Saturday: This Week's Ten Most Popular TaxProf Blog Posts Washington Supreme Court Grants Diploma Privilege To All Applicants Students Demand Harvard Law School Reverse Its Decision To Be 100% Online In Fall 2020 The Wealth Tax: Apportionment, Federalism, And Constitutionality Sunday: UNH Franklin Pierce Law School May Drop Name Of... [read post]
14 Jun 2020, 9:05 pm
In the last year, five U.S. [read post]
14 Jun 2020, 9:00 am
Boston Globe, UNH’s Franklin Pierce School of Law Considering Name Change: A New Hampshire law school bearing the name of the state’s only president, Franklin Pierce, is thinking about removing him from its title as part of the national conversation about systemic racism because he opposed taking steps to stop... [read post]
12 Jun 2020, 1:53 pm
Utz got out because it was just the corporate parent and Troncoso didn’t sufficiently justify piercing the corporate veil. [read post]
11 Jun 2020, 8:00 am
Can you put a cord through its nose or pierce its jaw with a hook? [read post]
11 Jun 2020, 2:00 am
Shannon Pierce is an attorney with Fennemore Craig, P.C., in Reno, Nevada. [read post]
11 Jun 2020, 2:00 am
Shannon Pierce is an attorney with Fennemore Craig, P.C., in Reno, Nevada. [read post]
10 Jun 2020, 10:56 am
Pierce, United States Court of Appeals for the Second Circuit. [read post]
9 Jun 2020, 9:49 am
" Plaintiffs further argue that the Order "inconsistently pursues" Defendants' goals because it is "so pierced by exemptions and inconsistencies that [they] cannot hope to exonerate [it]. [read post]
9 Jun 2020, 6:01 am
Nebraska (1923), Pierce v. [read post]
7 Jun 2020, 12:38 pm
The Treasure Coast Food Bank in Fort Pierce Fla. provides clients with safe and wholesome food. [read post]
5 Jun 2020, 4:11 pm
On June 4, 2020, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay its customers more than $7.2 million in restitution and interest resulting from unnecessary sales charges and excess fees incurred by more than 13,000 Merrill Lynch accounts in connection with mutual fund transactions from 2011 to 2017. [read post]
5 Jun 2020, 6:00 am
Nebraska (1923), Pierce v. [read post]
1 Jun 2020, 4:00 am
6/1/1925: Pierce v. [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor Sues… [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman,… [read post]
31 May 2020, 8:11 am
.'” We covered disqualification news tied to the Pierce Brainbridge saga a few months ago. [read post]
