Search for: "Allen Frank"
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6 Jul 2016, 9:49 am
Frank John Capuano (CRD #844182, West Springfield, Massachusetts)Capuano consented to the sanctions and to the entry of findings that he engaged in undisclosed and unapproved private securities transactions. [read post]
23 Jun 2016, 9:30 pm
President Obama signed the Frank R. [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
13 Jun 2016, 1:00 pm
Background: When Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010, it gave the CFPB supervisory and enforcement authority over all payday loan companies as well as other covered persons, including lenders making other types of small-dollar loans. [read post]
15 May 2016, 4:20 pm
The media news this week was dominated by the release of the long awaited White Paper, A BBC for the future: a broadcaster of distinction [pdf] . [read post]
8 Apr 2016, 7:48 am
And the Guardian features a tweet from popular blogger and tweeter David Allen Green in its article. [read post]
31 Mar 2016, 5:05 pm
Frank Gehry began life as Frank Goldberg, a child of Jewish parents living in Toronto. [read post]
25 Mar 2016, 6:00 am
Katzman, Fried, Frank, Harris, Shriver & Jacobson, LLP, onThursday, March 24, 2016 Tags: Compliance and disclosure interpretation, Director liability, Equity-based compensation, Exchange Act, Inside information, Insider trading, Investor protection, Liability standards, Management, Rule 10b-5-1, SEC, SEC enforcement,Section 10(b), Securities enforcement, Securities Regulation, Voluntary Disclosure Activist Investors, Cash, and Capital Allocation Posted by Paula Loop,… [read post]
14 Mar 2016, 4:00 am
Amsberry, San Antonio Joshua Frank Andor, McKinney Paula Ann Bennett, Frisco Leslie Jean Bollier, Austin Duana Jenise Boswell-Loechel, Houston Marie H. [read post]
14 Mar 2016, 4:00 am
Amsberry, San Antonio Joshua Frank Andor, McKinney Paula Ann Bennett, Frisco Leslie Jean Bollier, Austin Duana Jenise Boswell-Loechel, Houston Marie H. [read post]
12 Mar 2016, 2:10 am
»Download Mein Referat wurde von Su Franke live verbloggt. [read post]
3 Mar 2016, 3:14 am
District Judge Frank P. [read post]
22 Feb 2016, 4:37 pm
Our colleague Frank C. [read post]
22 Feb 2016, 4:37 pm
Our colleague Frank C. [read post]
22 Feb 2016, 4:34 pm
Our colleague Frank C. [read post]
22 Feb 2016, 4:31 pm
Our colleague Frank C. [read post]
22 Feb 2016, 4:25 pm
Our colleague Frank C. [read post]
22 Feb 2016, 7:41 am
Our colleague Frank C. [read post]
15 Feb 2016, 9:09 pm
General John Allen will introduce Blinken, and Tamara Cofman Wittes will moderate the conversation. [read post]
11 Feb 2016, 7:34 am
Juan A. [read post]
