Search for: "Dealer Trade Incorporated"
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29 May 2016, 9:38 am
The Heart of the Matter The classic early cases in products liability law were about consumers hurt by consumer products, sold by manufacturers or dealers directly to consumers. [read post]
17 Jan 2020, 8:39 am
The bar was reportedly in connection with the SEC’s investigation of allegations of insider trading in the securities of Radiant Systems, Inc., Midas Incorporated, Inc., and Brightpoint, Inc. [read post]
2 Aug 2010, 4:33 pm
Jeffrey Scott Mayer formerly with The Seidelman Companies Incorporated and now with Crowell, Weedon & Co. was fined $5,000 and suspended effective June 21, 2010, through July 16, 2010, for failing to supervise a broker who improperly handled customer accounts in his branch office. [read post]
6 Oct 2018, 6:04 am
This adds to the regulatory questions already surrounding ICOs, including broker-dealer and investment advisor registration. [read post]
4 Sep 2012, 9:58 am
Moreover, although same day entry into confirmations may be possible with certain derivatives that are currently traded on electronic platforms operated by dealers, the same may not be achieved with respect to other less frequently traded types of derivatives. [read post]
22 Sep 2023, 2:01 pm
The customer alleged unsuitable recommendations, excessive trading, and unauthorized trading, among others. [read post]
22 Sep 2023, 2:01 pm
The customer alleged unsuitable recommendations, excessive trading, and unauthorized trading, among others. [read post]
28 Sep 2023, 1:37 pm
Tremblay reportedly was registered as a broker with Cruttenden Roth Incorporated, in Newport Beach, California, from 1995 to 1997. [read post]
28 Sep 2023, 1:37 pm
Tremblay reportedly was registered as a broker with Cruttenden Roth Incorporated, in Newport Beach, California, from 1995 to 1997. [read post]
22 Sep 2023, 2:01 pm
The customer alleged unsuitable recommendations, excessive trading, and unauthorized trading, among others. [read post]
28 Sep 2023, 1:37 pm
Tremblay reportedly was registered as a broker with Cruttenden Roth Incorporated, in Newport Beach, California, from 1995 to 1997. [read post]
10 Nov 2009, 11:00 am
The draft also provides for strong corporate governance protections, incorporating many of the provisions of Senator Schumer's corporate governance bill, The Shareholder Bill of Rights Act, S 1074. [read post]
2 Jun 2008, 6:18 am
Reed was a solid New Dealer on the court, despite some conservative leanings on the establishment clause and on the incorporation doctrine (which holds that the adoption of the 14th amendment made the federal Bill of Rights apply to the states). [read post]
23 Apr 2009, 12:51 pm
Additionally, individuals whose sponsor is a registered broker-dealer may, in lieu of the Series 30, provide proof that they are qualified to act as a branch office manager or designated supervisor under the rules of FINRA. [read post]
10 Mar 2014, 9:01 pm
Gox to buy, sell or trade Bitcoin. [read post]
9 Apr 2019, 3:21 am
Exchanges of crypto assets: Consob highlighted the distinction between: (i) platforms with order book (where a proper book of negotiation provides for order matching); (ii) platforms which allow direct trading or peer to peer trading; and (iii) platforms where traders negotiate exclusively with the relevant dealer, who organizes its own book. [read post]
3 Oct 2011, 12:30 pm
Gilford is incorporated in New York and has its headquarters there. [read post]
14 Oct 2020, 5:36 am
Then he was a broker with Painewebber Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, and Gunnallen Financial. [read post]
14 Oct 2020, 5:36 am
Then he was a broker with Painewebber Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets, and Gunnallen Financial. [read post]
27 Feb 2015, 10:43 am
The Court held SIPA’s silence on this issue unsurprising, observing that an inflation adjustment under SIPA would be “nonsensical,” as securities purchased for a broker-dealer’s customers already incorporate economic forces like inflation. [read post]
