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Without admitting or denying FINRA’s findings, David Francis Dalton was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in all capacities for three months. [read post]
21 Jun 2011, 2:58 pm by Keith Griffin
This isn’t the first time David Lerner Associates has faced legal issues. [read post]
22 Jan 2021, 12:05 pm by Silver Law Group
Bibo also has a petty theft charge from 1984, in which he paid a $50 fine and had six months probation. [read post]
12 May 2020, 8:21 am by Renae Lloyd
Broker David Weisberg, Worden Capital Management in New York, NY  According to public records on the Financial Industry Regulatory Authority (FINRA) website, David Weisberg was reportedly suspended from associating with any FINRA member for 11 months and sanctioned with a fine of $7,500.00, plus disgorgement of $75,638.00. [read post]
21 Dec 2010, 2:29 am by admin
The sawmilling firm would have received a fine of £30,000 but for an early guilty plea. [read post]
8 Sep 2016, 6:00 am by Michael Leach
David Michaels, Assistant Secretary of Labor for OSHA, has said: “Making a living shouldn’t have to cost you your life. [read post]
24 Jun 2021, 9:29 am by Dan Bressler
” “The tribunal’s executive counsel also recommended that David Costly-Wood, an ex-KPMG partner who worked on the sale, face a personal fine of at least 500,000 pounds and be stripped of his membership of the Institute of Chartered Accountants in England and Wales for 15 years. [read post]
10 Apr 2023, 5:16 am by Chip Merlin
If a public adjuster studies personal property insurance claims rules and fully adjusts the fine details of the contents portion of a property insurance claim, I can guarantee you the fine details of the real property loss will not be missed by that public adjuster. [read post]
23 May 2014, 10:01 am by Breakstone, White & Gluck
Attorney David White of Breakstone, White & Gluck appeared on Fox 25 TV in Boston last week to discuss the fine, GM's recent bankruptcy proceedings and his thoughts about handling recall notices. [read post]
8 Oct 2013, 4:36 am by Charles Sartain
Posted by Charles SartainBy Jim Reed and David Leonard The Fifth Circuit has taken steps to fine-tune the interpretation and implementation of the agreement BP negotiated to settle its massive liabilities arising from the April 2010 oil spill following the explosion of the Deepwater Horizon. [read post]
4 Apr 2022, 8:55 am by Silver Law Group
FINRA imposed a $5,000 fine and a 30-day suspension from association with any FINRA member in any capacity. [read post]
26 Mar 2014, 12:19 pm by Barbara S. Mishkin
    The CFPB has taken aim at fine print when describing its mission and suggested that the use of fine print could potentially be challenged by the CFPB as an unfair, deceptive, or abusive practice. [read post]
20 Dec 2016, 7:01 am
In the AWC, Houlihan Capital was censured and fined $25,000,$5,000 of which was joint and several with Andrew David Smith, the firm’s president, chief compliance officer (CCO) and part-owner. [read post]
13 May 2023, 9:03 pm by News Desk
Gerald Mark Hewitt, 59, from Tarporley, was fined £1,000 ($1,200), Matthew David Arden, 32 from Whitchurch was fined £1,050 ($1,300) and Joseph Anthony Arden, 66, from Nantwich was fined £160 ($202). [read post]
29 May 2014, 5:30 am by Kori Shafer-Stack
David Michaels, assistant secretary of labor for occupational safety and health. [read post]
22 May 2018, 2:50 pm by Legal Profession Prof
The Colorado Presiding Disciplinary Judge approved a sanction The Presiding Disciplinary Judge approved the parties’ conditional admission of misconduct and suspended Rusty David Miller (attorney registration number 42495) for ninety days, all to be stayed upon the successful completion of... [read post]
24 Jul 2014, 1:30 pm
Have you seen SwedelsonGottlieb Senior Partner David Swedelson present his Playing by the Rules seminar yet? [read post]
  In 2004, the NASD fined David Lerner Associates for sales contests that promoted certain proprietary mutual funds, variable annuity, and variable life insurance products. [read post]