Search for: "Brian Lynch"
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30 Jan 2019, 1:06 pm
According to FINRA Disciplinary actions for January 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 Balas, Tami SCF Securities, Inc Klopp Agency Bustamante, Ricardo JP Morgan Securities LLC Bustamante Family Legacy, LLC Coffey, Brian… [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital Diehlman,… [read post]
24 Apr 2014, 9:44 pm
Mirabile and Brian Morris. [read post]
3 May 2012, 6:56 am
Brian Lynch, chair of the Risk Roundtable Compliance Consortium, delivered a presentation updating attendees on current risk issues and trends, and moderated group discussion. [read post]
28 Jan 2021, 5:56 am
Quinn (University of Washington), and Brian Tayan (Stanford University), on Thursday, January 28, 2021 Editor's Note: David F. [read post]
3 Jun 2007, 10:58 am
(and subsequent posts on the action, see here) I wish to gratefully acknowledge Brian P. [read post]
18 Jun 2010, 10:26 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
25 Oct 2009, 9:39 pm
The executives at Merrill Lynch have suggested that BoA knew of the losses before it consummated the merger. [read post]
16 Jul 2015, 12:10 pm
Here are the candidates: Large Firm Governor: One candidate, John Thiel, head of Merrill Lynch Wealth Management, is running unopposed as the FINRA-nominated large-firm governor candidate. [read post]
27 Apr 2011, 10:55 am
The session was produced and moderated by Brian Lynch at IntApp. [read post]
21 Mar 2012, 1:52 pm
Power, Jr., and Brian LaCien of Power Rogers & Smith, P.C. [read post]
2 Mar 2013, 2:50 pm
Lynch. [read post]
27 Oct 2011, 8:52 am
Brian Lynch delivered a presentation updating attendees on current risk issues and trends, and moderated group discussion. [read post]
2 Jul 2019, 6:23 am
., Brian D. [read post]
14 Nov 2011, 7:27 am
Brian Lynch delivered an update on current risk trends and issues, and moderated group discussion. [read post]
4 Nov 2012, 9:25 pm
Speakers will review litigation hold requirements and methods for implementing effective litigation holds, addressing topics including: Understanding litigation hold requirements When to place a litigation hold What information is affected Managing litigation holds Technology solutions Speakers: Crystal Adkins, Associate General Counsel, Holland & Knight Dana Moore, Information Governance Compliance Manager, Foley & Lardner Mark Lagodinski, Director of Records Management, Sidley Austin… [read post]
10 Nov 2013, 10:42 pm
Lynch is handling the case. [read post]
14 Oct 2011, 7:09 am
Brian Lynch delivered a presentation updating attendees on current risk issues and trends, and moderated group discussion. [read post]
4 Sep 2012, 7:18 am
" Participants in the information security working group included Brian Lynch from IntApp, Shawn Knight from Venson & Elkins, Brianne Aul from Reed Smith, Mark Lagodinski from Sidley Austin, Eric Mosca from InOutsource, Paul Singleton from Bingham McCutchen, and Susan Trombley from Iron Mountain. [read post]
1 Nov 2010, 10:46 am
Brian Lynch from IntApp and the Risk Roundtable Compliance Consortium, who recently testified before the ABA on law firm confidentiality issues, will present and moderate group discussion. [read post]
