Search for: "David Fine" Results 1 - 20 of 6,328
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2 Dec 2010, 2:41 pm
This blog post is written by David Benowitz, one of the founding partners of Price Benowitz LLP. [read post]
4 Apr 2012, 1:27 pm
A Financial Industry Regulatory Authority ("FINRA") Hearing Panel has fined David Lerner & Associates ("DLA") $2.3 million for charging excessive markups on municipal bond and collateralized mortgage obligations ("CMOs") during the period January 2005 to January 2007. [read post]
10 Mar 2011, 7:36 am by David
David M Cantor, a Phoenix Criminal Defense Attorney, talks about the decision and focuses on Chevrons response to the fine. [read post]
9 Nov 2007, 3:19 am
David Burrows is not a name I had expected to come across whilst reading the Solicitors Disciplinary Tribunal reports in the Gazette, but the SDT has ordered him to pay a fine of £1,000 for retaining in office account monies sent to him by the Legal Services Commission for payment of disbursements and costs, contrary to rule 22(1) of the Solicitors Accounts Rules 1998. [read post]
8 Dec 2020, 5:59 am by Sergio Muñoz Sarmiento
David Lamelas, Quand le ciel bas et lourd (When the sky low and heavy), 1992, view at the Royal Museum of Fine Arts Antwerp, 1990s. [read post]
25 Mar 2014, 2:36 pm by Nancy Kim
Notable speakers include Ralph Nader, Edith Ramirez and David Vladeck as well as blog favorites Margaret Jane Radin... [read post]
21 Jun 2008, 3:21 pm
On June 30, 2008, David Oxenford attended the Montana Broadcasters Association Annual Convention in Whitefish, Montana, and presented a seminar titled: Staying Out Of Trouble in Washington - FCC Fines, Streaming Fees and Whatever Else Keeps You Up At Night. [read post]
4 Apr 2012, 10:41 am by Securites Lawprof
A FINRA hearing panel ruled that Long Island-based David Lerner Associates, Inc. [read post]
15 Jul 2010, 10:42 pm by Dan Ernst
Barrett has posted a fine appreciation of David Ginsburg (1912-2010), whom Barrett describes as possibly "the last living official who served at senior levels in the early Roosevelt Administration. [read post]
30 Nov 2017, 7:31 am by Blum Law Group
(FINRA Case #2013037843201) David John Lomedico (CRD #1531676, Huntington, New York) – An AWC (Accept, Wavier & Consent) was issued in which Lomedico was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for four months. [read post]
5 Apr 2012, 6:29 am by D. Daxton White
A Financial Industry Regulatory Authority Inc. hearing panel recently ordered David Lerner to pay more than $3.7 million in fines and restitution for overcharging retail customers on sales of more than 1,500 municipal bonds and 1,700 collateralized-mortgage-obligation transactions. [read post]
25 Mar 2011, 5:38 am by Steve Shiffrin
Beatrice Marovich has a fine review of The Social Animal by David Brooks over at Religion Dispatches. [read post]
4 Sep 2021, 5:39 am by Iorio Altamirano
FINRA has suspended and fined former Raymond James Financial Services, Inc. broker David Van Geffen from the securities industry for 15 business days. [read post]
24 Sep 2009, 8:18 am
“Thames Valley police force has been fined £40,000 after a firearms instructor, Pc David Micklethwaite, accidentally shot and nearly killed a former rifle marksman. [read post]
12 Jan 2017, 5:17 am
Contents include: Sarah Fine & Lea Ypi, The Ethics of Movement and Membership: An Introduction David Miller, Is there a Human Right to Immigrate? [read post]
3 Jul 2018, 11:12 am by David Kopel
The three-judge panel held that the fine violated the Excessive Fines Clause of the Eighth Amendment because it was grossly disproporationate to the offense. [read post]