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22 Jun 2011, 12:22 pm
Morgan Keegan marketed the Intermediate Fund as a relatively safe, investment-grade fixed income mutual fund investment when, in fact, the fund was exposed to risks associated with its investments in mortgage-backed and asset-backed securities, and subordinated tranches of structured products. [read post]
26 Jun 2020, 9:16 am
The Notice also answers questions regarding the waiver of RMDs for 2020 under the Coronavirus Aid, Relief, and Economic Security Act, known as the CARES Act. [read post]
6 Jan 2024, 6:00 am
”Expert Statement Kellie Carter Jackson (Michael and Denise Kellen ‘68 Associate Professor of Africana Studies, Wellesley College) “Understanding the Historical Context for White Supremacist Violence in America in Tandem with the Events of January 6, 2021”Expert Statement Chicago Project on Security & Threats*Robert Pape (Director, Chicago Project on Security and Threats), Keven Ruby (Senior Research Director, Chicago Project on… [read post]
6 Nov 2023, 11:00 am
FINRA Rule 3280 expressly prohibits a registered representative or associated person from selling any security “away” from their member firm unless the firm has granted specific authorization for the sale. [read post]
10 Apr 2017, 6:43 am
Authors should prepare works contemplating the legal challenges associated with the use of both lethal and non-lethal autonomous systems. [read post]
3 Jan 2017, 9:08 am
In 2008, the FDA issued a public health notification warning of certain life threatening side effects associated with the off label use of INFUSE. [read post]
16 Aug 2017, 2:39 pm
The Company also maintained a “USE OF PERSONAL DATA” policy: The Company has certain personal data of its present and former associates, customers and vendors. [read post]
16 Aug 2017, 2:39 pm
The Company also maintained a “USE OF PERSONAL DATA” policy: The Company has certain personal data of its present and former associates, customers and vendors. [read post]
10 Jul 2020, 1:05 pm
Before working for UBS Financial Services (CRD# 8174) starting in 2015, Turlan was previously registered with BBVA Securities Inc. [read post]
31 May 2012, 7:50 am
Mylan Pharmaceuticals, Inc., Mylan, Inc. [read post]
1 Dec 2023, 1:16 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
23 Oct 2020, 2:00 pm
FINRA Rule 2150(a) provides that “[n] member of person associated with a member shall make improper use of a customer’s securities of funds. [read post]
13 Jun 2013, 8:18 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
21 Apr 2023, 6:20 am
From 1997 to 2021, while associated with UBS, Mr. [read post]
29 May 2019, 6:54 am
From August 2018 until December 2018 Shefer was associated with APW Capital, Inc. out of the firm’s Aventura, Florida office location. [read post]
18 Aug 2019, 8:07 am
Rodriguez was barred from association with any FINRA member in all capacities. [read post]
21 Jun 2022, 1:21 pm
Contact us today at (800) 975-4345 and let us know how we can help. [read post]
20 Dec 2017, 10:00 pm
Post By Sarah Dickhut On December 19, 2017, the Federal Circuit released an opinion in Travel Sentry, Inc. v. [read post]
9 Oct 2013, 7:00 am
From January 2011, to December 2011, Mediate was associated with National Securities Corporation. [read post]
8 Jun 2009, 10:58 am
If you sign-up for a free Typepad account then you can personalize the image associated with your moniker. [read post]
