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19 Jul 2016, 2:33 pm by D. Daxton White
According to FINRA, David Michael Miller (CRD #5461431, Columbus, Ohio) recently was barred from association with any FINRA member in any capacity, required to pay a total of $799,161.07, plus interest, in restitution to customers, and required to disgorge to FINRA a fine of $15,161.54, plus interest. [read post]
3 Nov 2014, 7:01 am
The investigation by FINRA stems out of a 2008 arbitration case between Ameriprise advisor David B. [read post]
5 Jun 2012, 8:35 am by Keith Griffin
Another Brookstone executive and minority owner, former chief compliance officer David Locy, was suspended from the securities industry for two years, barred from working as a supervisor in the future and fined $25,000. [read post]
2 Feb 2017, 8:46 am by Malecki Law Team
The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Solomon David Krispeal. [read post]
2 Nov 2009, 6:28 am by Matt Brown
People who know him all seem to describe DeCosta as a good person and a fine lawyer. [read post]
11 Nov 2008, 1:50 pm
David Brooks' column this morning predicts battles between two camps within the conservative movement.It is a fine column and sure to get e-mailed around, sparking snarky comments along the way.But it vastly understates... [read post]
18 Mar 2022, 6:54 am by Brian Leiter
A whole series of seminars on Saul Kripke's seminal work of analytic philosophy are available on YouTube, featuring Kripke himself, David Kaplan, Robert Stalnaker, Kit Fine, Stephen Neale, Nathan Salmon and others. [read post]
19 Nov 2009, 7:46 am
David Cassuto Fine op-ed on animal welfare laws here by Katrina Sharman of Voiceless, an Australian animal advocacy organization. [read post]
3 Jul 2007, 3:16 pm
In an otherwise fine article, NYTimes business columnist David Leonhardt managed to irk me by declaring in passing that "tolls are really a kind of tax. [read post]
12 Sep 2011, 7:51 am by McNabb Associates, P.C.
If convicted, ARTHUR faces a maximum term of imprisonment of 20 years, a $250,000 fine, as well as being ordered to pay restitution to his victims. [read post]
23 Jun 2022, 3:51 pm by Geoff Schweller
Read: The SEC’s Order Against Brinks More SEC Whistleblower News on WNN The post SEC Fines Brinks for Restricting Whistleblowing in Contracts appeared first on Whistleblower Network News. [read post]
4 May 2009, 3:10 am
  So I wondered too why the fine folks at USLaw felt entitled.I searched to find out who the fine folks at USLaw might be reached. [read post]
23 Jun 2010, 8:34 am by Michael Lowe
  Today, these cops stand by their story that he seemed fine to them, not a danger to himself or others at the time. [read post]
23 Nov 2010, 6:54 pm by Michael L. Guisti
Orange County, California - According to reports, David Cassidy, 60 years, was booked earlier this month and arrested for DUI. [read post]
28 Dec 2016, 5:14 pm
"Appeals court ruling could nullify hundreds of decisions by SEC judges in Colorado and 5 other states; The ruling dissolves a $1.2 million fine levied against David Bandimere": David Migoya of The Denver Post has this report. [read post]
19 Aug 2012, 3:35 pm
And, as for David Cameron, I would rather his government spent time on closing the legal tax loopholes than claiming the moral high ground. [read post]