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11 Aug 2019, 8:50 am
Quebec and British Columbia Securities Commission v. [read post]
8 Aug 2019, 11:05 pm
It is a small business with an associated common carrier with 3 drivers. [read post]
7 Aug 2019, 9:23 am
Objectors Had No Role In $6B Swipe Fee Deal, Court ToldLaw360 – August 1, 2019 (subscription required) Merchants who secured a multibillion-dollar swipe fee settlement with Visa Inc., Mastercard Inc. and a group of banks urged a New York federal judge Wednesday not to grant legal fees to objectors to the original deal, arguing that the objectors played no part in increasing the payment amount. [read post]
6 Aug 2019, 8:45 am
Dewaay Financial Network, LLC VSR Financial Services, Inc Freeman, Michael Spartan Capital Securities, LLC Legend Securities, Inc Fuzie, Cindy Morgan Stanley MML Investors Services, LLC Hernandez, Evelyn Morgan Stanley Chase Investment Services Barry, Jin Spartan Capital Securities, LLC Lampert Capital Markets Inc LaVolpe, Michael … [read post]
6 Aug 2019, 4:40 am
In this connection, and as part of my privacy practice, I regularly advise clients on privacy issues associated with transfers and disclosures of personal information. [read post]
5 Aug 2019, 7:41 pm
This is exactly the question that was addressed in a recent opinion by the Ninth Circuit Bankruptcy Appellate Panel in Schnitzel, Inc. dba R&J Jewelry & Loan v. [read post]
5 Aug 2019, 11:39 am
Mackay was reportedly terminated by a former employer, World Group Securities Inc., following allegations that Mackay allegedly took part in an unapproved commission sharing arrangement for securities transactions he executed, FINRA notes. [read post]
5 Aug 2019, 11:39 am
Mackay was reportedly terminated by a former employer, World Group Securities Inc., following allegations that Mackay allegedly took part in an unapproved commission sharing arrangement for securities transactions he executed, FINRA notes. [read post]
5 Aug 2019, 3:08 am
Morristown-Hamblen Hospital Association, No. [read post]
3 Aug 2019, 1:29 am
Smith, in October of 2006, first became registered with FINRA as a Financial and Operations Principal through an association with a member firm, and was registered through several FINRA member firms prior to purchasing CV Brokerage, Inc. beginning on May 12. 2010, FINRA notes. [read post]
3 Aug 2019, 1:29 am
Smith, in October of 2006, first became registered with FINRA as a Financial and Operations Principal through an association with a member firm, and was registered through several FINRA member firms prior to purchasing CV Brokerage, Inc. beginning on May 12. 2010, FINRA notes. [read post]
2 Aug 2019, 9:09 am
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
2 Aug 2019, 9:09 am
[contact-form-7]Contact UsShow less Frederick Markley Stow Discharged by Raymond James & Associates, Inc. [read post]
31 Jul 2019, 10:55 am
The FDA has traced back some of the pig ear treats associated with the outbreak patients to sources in Argentina and Brazil. [read post]
31 Jul 2019, 7:02 am
ABA Raises Questions About Rakuten Plan to Obtain Regulatory Approval for US BankMobile Payments Today – July 29, 2019 The American Bankers Association has come out against a plan by Japanese e-commerce site Rakuten Inc. to obtain a charter to operate in the U.S. [read post]
30 Jul 2019, 11:35 am
FINRA Rules state that [n]o member or person associated with a member shall make improper use of a customer’s securities or funds, and FINRA Rules provide that [a]member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade, FINRA notes. [read post]
30 Jul 2019, 11:35 am
FINRA Rules state that [n]o member or person associated with a member shall make improper use of a customer’s securities or funds, and FINRA Rules provide that [a]member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade, FINRA notes. [read post]
29 Jul 2019, 10:54 am
Department of Energy (“DOE”) awarded Xage Security, Inc. [read post]
26 Jul 2019, 7:42 am
Abercrombie & Fitch Stores Inc.). [read post]
26 Jul 2019, 6:17 am
Securities and Exchange Commission, on Friday, July 19, 2019 Tags: Accounting, Financial reporting, Investor protection, Long-Term value, Macroeconomics, Short-termism The Bad Actor Disqualification Act and Expected Impact on SEC Settlements Posted by Robin Bergen, Matt Solomon and Joon Kim, Cleary Gottlieb Steen & Hamilton LLP, on Saturday, July 20, 2019 Tags: Advanced notice, Investor protection, SEC, SEC… [read post]
