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H.D. Vest Sanctioned by the SEC
10 Mar 2015, 7:29 am by D. Daxton White
Vest violated the supervision requirements of Section 15(b)(4)(E) of the Securities Exchange Act of 1934 as well as the customer protection rules found in Section 15(c)(3) of the Exchange Act and in Rule 15c3-3. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
H.D. Vest Investment Services Inc. Pays $225,000 Fine to Settle SEC Allegations of Supervisory and Customer Protection Rule Violations
11 Mar 2015, 2:06 pm by Lax & Neville LLP
Vest e-mail accounts, so long as investment-related communications were copied or forwarded to H.D. [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
In Memoriam – April 2019
1 May 2019, 12:00 pm by Adam Faderewski
• H.D. [read post]
State Bar of Texas Blog - http://blog.texasbar.com/
In Memoriam – April 2019
1 May 2019, 12:00 pm by Adam Faderewski
• H.D. [read post]
State Bar of Texas Blog - http://blog.texasbar.com/
Can Screamin’ Eagles Co-Exist?
12 Jun 2014, 4:00 am by Martin Kratz
Legal scholars may also wish to consider the decision in light of Canada’s proposed Bill C-31 which would remove “use” as a criterion for Trade-mark registration. [read post]
Slaw - http://www.slaw.ca
Supreme Court Opens Gates for Non-Lawyers to Practice before Consumer Forums
1 Sep 2011, 12:50 pm by The Legal Blog
Ajitkumar C. [read post]
The Legal Blog.in - http://www.legalblog.in/