Search for: "Brian Lynch"
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9 Jun 2009, 6:50 am
Brian A. [read post]
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]
8 Jul 2020, 6:03 am
Larcker, James Irvin Miller Professor of Accounting at Stanford Graduate School of Business; Bradford Lynch, PhD Student at The Wharton School; and Brian Tayan, Researcher with the Corporate Governance Research Initiative at Stanford Graduate School of Business. [read post]
19 May 2011, 11:34 am
Brian Lynch delivered a presentation updating attendees on current risk issues and trends, and moderated group discussion. [read post]
21 May 2020, 7:05 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Cline, Kevin Source Capital Group, Inc Ridgemont Securities, Inc Delaney, Maxwell Brill Securities, Inc National Securities Corporation Henrich, Todd National Securities Corp Obsidian Financial Group … [read post]
6 Sep 2011, 7:06 am
In this session, panelists from SNR Denton, Foley & Lardner and Drinker Biddle will explore topics including: Proper due diligence Managing incoming information Integrating people and technology IntApp's Brian Lynch will moderate this discussion featuring members of the Risk Roundtable Compliance Consortium, a working group focused on developing risk response guidelines: CLE Credit: Certificates will be provided to attendees upon request. [read post]
18 Apr 2011, 7:43 am
Panelists will explore topics including: Approaches for organize risk and compliance teams The role lawyers can play in evaluating firm risk policies and practices New and emerging challenges facing the industry Using technology to mitigate risk Educating firm management and enhancing the profile of risk management At this session, IntApp's Brian Lynch will moderate a panel comprising members of the Risk Roundtable Compliance Consortium, a working group focused on developing… [read post]
22 Nov 2011, 8:08 am
Brian Lynch delivered a presentation updating attendees on current risk issues and trends, and moderated group discussion. [read post]
Upcoming Risk Roundtable Webinar: Recent Disqualification Decisions and Lawyer Mobility Implications
25 May 2011, 8:16 am
In this session, panelists from Reed Smith, Holland & Knight, and Haynes and Boone will explore topics including: Case law and lateral hiring standards in various states The emerging trend of vetting summer associates Key components of lateral hire due diligence At this session, IntApp's Brian Lynch will moderate a panel comprising members of the Risk Roundtable Compliance Consortium, a working group focused on developing risk response guidelines: CLE Credit:… [read post]
29 Jul 2019, 3:00 am
” by Laura Zornosa for Center for Public Integrity Elections National: “It’s Not Just the Russians Anymore as Iranians and Others Turn Up Disinformation Efforts Ahead of 2020 Vote” by Craig Timberg and Tony Romm (Washingtin Post) for MSN Ethics National: “Texts, Sex, Lies and Corruption: Here’s What Has Forced Governors Out of Office” by Adeel Hassan for New York Times National: “Meet the Man Who Created the Fake Presidential Seal – a Former… [read post]
