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9 Jun 2018, 1:04 pm
FINRA alleged that Sica repeatedly recommended that the customer purchase high-risk securities that were inconsistent with her investment profile and resulted in an over concentration of the customer’s account in speculative securities. [read post]
20 Jun 2018, 5:51 am
The NYSE also found that Maughan also engaged in unsuitable investments that were inconsistent and excessive for his customer in terms of the customer’s age, investment objectives, and financial circumstances. [read post]
13 Aug 2018, 10:25 am
The customer requested damages of $75,000. [read post]
1 Jul 2024, 5:59 pm
“This is increased detail for customers who have already been notified and also includes new notifications. [read post]
30 Jul 2012, 6:07 pm
The ERISA claimants said that if the Court correctly applied ERISA, they qualified as “customers” under SIPA’s definition of customer as “any person who has deposited cash with the debtor for the purpose of purchasing securities”. [read post]
23 Feb 2024, 11:55 am
Morgan in its settlement agreements with its advisory and brokerage firm customers to which it paid over $1,000.00. [read post]
6 Feb 2019, 1:34 pm
The firm’s policies prohibited registered representatives from accepting gifts over $100 per year from the firm’s customers. [read post]
19 Sep 2022, 7:44 am
A brokerage firm has a special relationship with a customer from the fact that in recommending the security, the broker represents to the customer that a reasonable investigation has been made. [read post]
17 Jul 2024, 6:23 am
A brokerage firm has a special relationship with a customer from the fact that in recommending the security, the broker represents to the customer that a reasonable investigation has been made. [read post]
4 May 2012, 9:26 pm
Patent and Trademark Office has announced the agenda for the next biotechnology/chemical/ pharmaceutical (BCP) customer partnership meeting to be held on June 6, 2012. [read post]
10 Feb 2012, 9:59 pm
Patent and Trademark Office has announced the agenda for the next biotechnology/chemical/ pharmaceutical (BCP) customer partnership meeting to be held on March 6, 2012. [read post]
19 Nov 2010, 9:59 pm
Patent and Trademark Office has announced the agenda for the next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting to be held on December 8, 2010. [read post]
20 Aug 2010, 9:34 pm
Patent and Trademark Office has announced the agenda for the next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting to be held on September 8, 2010. [read post]
28 Oct 2011, 9:27 pm
Patent and Trademark Office has announced the agenda for the next biotechnology/chemical/ pharmaceutical (BCP) customer partnership meeting to be held on December 1, 2011. [read post]
25 Feb 2011, 9:23 pm
Patent and Trademark Office has announced the agenda for the next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting to be held on March 2, 2011. [read post]
14 May 2010, 9:50 pm
Patent and Trademark Office has announced the agenda for the next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting to be held on June 1, 2010. [read post]
19 Feb 2010, 9:39 pm
Patent and Trademark Office has announced the agenda for the next biotechnology/chemical/pharmaceutical (BCP) customer partnership meeting to be held on March 2, 2010. [read post]
16 Jul 2019, 7:05 am
He executed trades of approximately $10 million, without authorization of the six customers, including trades made after one customer died. [read post]
22 Oct 2008, 4:37 am
Are Swedish customs officers and police reluc [read post]
22 Oct 2008, 1:37 pm
Are Swedish customs officers and police reluc [read post]
