Search for: "Brandon Roberts"
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22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, 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 Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co … [read post]
27 Sep 2019, 6:00 am
Posted by Michael Ewens (California Institute of Technology) and Richard Townsend (UCSD), on Friday, September 20, 2019 Tags: Capital formation, Diversity, Entrepreneurs, Venture capital firms Statement on Volcker Rule Amendments Posted by Robert J. [read post]
17 Sep 2019, 7:56 am
Garrett Exonerated: A History of the Innocence Movement by Robert J. [read post]
14 Sep 2019, 6:35 pm
(Pix © Larry Catá Backer 2017)Flora Sapio and I are delighted to share with those interested the draft of our essay, Popular Consultation and Referendum in the Making of Contemporary Cuban Socialist Democracy Practice and Constitutional Theory. [read post]
13 Sep 2019, 7:25 am
Hill ProfJulieHill Alabama Shalini Ray shalbharg Alabama immigration professional responsibility civil procedure Adam Steinman Adam_Steinman Alabama Joyce Vance joycewhitevance Alabama Criminal Law/Procedure Criminal Justice Reform, Civil Rights Andy Ayers ABlakesleeAyers Albany Immigration Admin Government Ray Brescia rbrescia Albany Access to Justice and Technology Inequality Ted De Barbieri TedDeBarbieri Albany Community Economic Development… [read post]
6 Aug 2019, 10:03 am
Corcos, Robert M. [read post]
6 Aug 2019, 10:03 am
Corcos, Robert M. [read post]
3 Jul 2019, 2:53 pm
The law’s multi-year phase-in to $15 per hour gives the state’s businesses the time they need to adjust to the higher wage requirements,” said Labor Commissioner Robert Asaro-Angelo. [read post]
3 Jul 2019, 4:05 am
At Covington’s Inside Energy & Environment blog, Thomas Brugato and Brandon Rattiner explain that the decision “will have significant ramifications for the Environmental Protection Agency … and environmental law. [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc Ameriprise Financial Services, Inc … [read post]
12 Jun 2019, 2:48 pm
” The award recipients were as follows (for a full awards list, scroll to the bottom of this post): Top DUI Arresting Officer: Officer Robert Tyo, Bakersfield Police Department, 223 DUI arrests Prosecutor of the Year: Kim Richardson, Kern County District Attorney’s Office Probation Department Award: Brian Mara, DUI Program Supervisor Community Champion Award: Jeff Platt, Eyewitness News Top CHP Officer: Officer Rodney Black (Bakersfield), 117 DUI arrests The awards ceremony was… [read post]
7 Jun 2019, 6:09 am
Securities and Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Disclosure, Fiduciary duties, FINRA, Investment advisers, Investor protection, Retail investors, SEC, SEC rulemaking, Securities regulation Statement on Final Rules Governing Investment Advice Posted by Robert J. [read post]
5 Jun 2019, 11:15 am
The post Stephen Brandon Anderson Accused of Multiple SEC Findings appeared first on Securities Fraud Attorney. [read post]
30 May 2019, 1:40 pm
Robert A. [read post]
17 May 2019, 6:06 am
Statement on Proposed Amendments to Sarbanes Oxley 404(b) Accelerated Filer Definition Posted by Robert J. [read post]
19 Apr 2019, 5:33 am
Insurance Agency Guillory, Michael Financial West Group The Shemano Group, Inc Hamm, Brandon Wells Fargo Clearing Services Hartigan, John Entrustpermal Securities LLC Calyon Financial Inc Jones, Marques Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Merlo, Robert Allstate Financial Services Pruco Securities Norris, Timothy BMO Harris Financial Advisors… [read post]
17 Apr 2019, 6:55 pm
Brandon E. [read post]
28 Mar 2019, 8:28 am
Council member Brandon Todd (D-Ward 4) proposed a bill to raise D.C. [read post]
5 Mar 2019, 6:23 am
Yoder, Hedging for Better Bets: Power Shifts, Credible Signals, and Preventive Conflict Andrew Bertoli, Allan Dafoe, & Robert F. [read post]
7 Feb 2019, 1:46 pm
LEGAL EDUCATION Brandon K. [read post]
