Search for: "Buckingham" Results 301 - 320 of 503
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14 Jul 2011, 11:06 am by Doug Cornelius
The SEC stated that Saksa failed to reasonably supervise Bortel within the meaning of Section 203(e)(6) Direct Liability CCO has direct liability for: –Aiding and abetting, and causing firm violations such as: •Responding to regulatory inquiries •Responding to deficiency letters •Adopt/implement policies and procedures •Failing to file - Permitting unregistered individuals to act As an example the they cited In the Matter of the Buckingham Research Group, Inc.,… [read post]
24 May 2019, 1:01 am by rhapsodyinbooks
She became the first sovereign to take up residence at Buckingham Palace. [read post]
10 Jan 2008, 6:39 am
In the ID book, I found particularly helpful the first piece on “Introducing Identity” by David Buckingham, which took on the hard definitional and discipline-related questions of identity in this context. [read post]
25 Sep 2017, 9:00 pm by Dan Flynn
“Food safety is not just about consumer protection, it’s about enhancing the competitiveness of the Canada-U.S. agri-food supply chain around the world,” said CAPI’s Don Buckingham and the Canada Institute’s Laura Dawson. [read post]
” After that Truss traveled to Buckingham Palace for her final audience with King Charles III before the King asks Rishi Sunak to form a Government. [read post]
26 Oct 2012, 4:30 am by Jim Dedman
 Do you remember Steve Buckingham’s fabled “I Want My Halloween” pop culture post from just last year? [read post]
8 Sep 2022, 11:57 am by Tom Smith
"He said during the period of mourning and change he and his family would be "comforted and sustained by our knowledge of the respect and deep affection in which The Queen was so widely held".In a statement, Buckingham Palace said: "The Queen died peacefully at Balmoral this afternoon. [read post]
21 May 2020, 6:40 am by Silver Law Group
According to FINRA Disciplinary actions for February 2020, 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   Belesis, George   Portfolio Advisors Alliance, LLC   John Thomas Financial   Berghausen, Joseph   ADP Broker-Dealer, Inc   Cetera Advisor Networks LLC  … [read post]
2 Oct 2015, 4:09 am by Robin Shea
I was in a remote office, but she did invite me out for drinks once when she was in Winston-Salem for an OFCCP audit, and I felt like I’d been invited to Buckingham Palace. [read post]
29 Aug 2012, 4:30 am by Nick Farr
[Editor's note: This Dallas Cowboys lawsuit was of such great interest to us that we decided that both Steve Buckingham and Nick Farr, fine writers of this site, should comment upon it. [read post]
3 May 2012, 7:53 pm by David Smyth
  In the last year, the SEC has brought cases addressing the safe handling of nonpublic information at investment advisers (Buckingham Capital) and broker-dealers (Janney Montgomery Scott), investment adviser supervision (at AXA Advisors), and trading huddles at Goldman Sachs. [read post]
17 Sep 2015, 11:10 am by David M. Ward
In The One Thing You Need to Know, Marcus Buckingham distilled years of research about personal success down to one thing: “Find out what you don’t like doing and stop doing it. [read post]
15 Apr 2011, 7:39 am
Sources: Florida Man Wins $3 Million in Lawsuit Against State Farm Insurance Over 2008 Car Crash AVVO.com April 12, 2011 Buckingham man awarded $3 million in State Farm lawsuit News-Press.com April 12, 2011 Florida Department of Highway Safety and Motor Vehicles: Vehicle Insurance Questions and Answers Related Florida Accident Attorney Resources: Insurance Companies: Greed and Dirty Tricks Rule the Day What Damages Mean to You in Your Florida Personal Injury Lawsuit Florida… [read post]
The review’s lead commissioner Donna Buckingham said in a media release: DNA analysis is a valuable tool for Police, but the current law has gaps and can also be confusing and complex to apply in practice. [read post]
8 Sep 2022, 12:24 pm by David Pocklington
Parish churches, chapels and cathedrals are being encouraged to toll their bells and open for prayer or special services following the announcement from Buckingham Palace. [read post]