Search for: "In the Matter of Frank"
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8 Sep 2010, 6:46 am
Again this space contained no matter whatsoever. [read post]
11 Nov 2017, 9:04 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Frank Giacalone (Giacalone) has been subject to two customer complaints. [read post]
5 Jan 2012, 6:07 am
Manufacturers in general must investigate the supply chains of their products in order to comply with the disclosure requirements, no small matter at a firm like Kraft with 40,000 products and 100,000 suppliers. [read post]
11 Mar 2009, 12:44 pm
Seventh Circuit Chief Judge Frank H. [read post]
15 Jun 2011, 3:37 am
Frank Lucas (R-Okla.), the chairman of the House Agriculture Committee. [read post]
18 May 2012, 8:17 am
CFTC May Ease Dodd-Frank Commodity Speculation LimitsUPDATE: The CFTC has announced that it has raised the ownership threshold from 10% to 50%. [read post]
24 Aug 2011, 3:17 am
WHEN Obama wrote a book and said he was mentored as a youth by Frank (Frank Marshall Davis was his Mother's boyfriend) an avowed Communist, people said it didn't matter. [read post]
17 Sep 2010, 6:59 pm
The committee believes that the blanket FOIA exemption given to the SEC by Dodd-Frank was overbroad. [read post]
3 Nov 2011, 6:32 am
Rodgin Cohen is a partner and senior chairman of Sullivan & Cromwell LLP focusing on acquisition, corporate governance, regulatory and securities law matters. [read post]
2 Mar 2011, 9:01 am
Woodlock decided that the court (D Mass), rather than a FINRA arbitration panel, had subject matter jurisdiction over a whistleblower claim and denied a defense motion to compel arbitration.Section 922 of the Dodd-Frank Act added new subsection (e) to Sarbanes-Oxley Act Section 806 to ban pre-dispute arbitration agreements concerning civil whistleblower claims. [read post]
7 Aug 2014, 12:13 pm
The same analysis used by the Commission in its Order Denying Whistleblower Award Claim in Release No. 34-70772 should apply to the Lawton matter, he asserted. [read post]
20 Oct 2022, 8:35 am
But the Durbin Amendment was literally an amendment voted on the Senate floor when the Dodd-Frank Financial Reform Bill was considered in the Senate in 2010. [read post]
9 Feb 2018, 7:00 am
Should the facts of this matter reveal that the apartment complex owner or management failed to provide adequate security, the family of Frank Thompson, Jr. [read post]
26 Jun 2017, 6:23 am
Kohn issued the following statement Thursday: Although it is the policy of the National Whistleblower Center not to release its private communications with Congress on legislative matters, because of the split among the appellate courts and confusion at the district court level, we have made an exception. [read post]
6 Feb 2022, 1:30 pm
Frank and George A. [read post]
16 Mar 2022, 11:15 am
Michelson is frank about his desire to give back to what he describes as the “most robust intellectual property system in the world” — and that starts by educating young people, who are best equipped to change the world. [read post]
16 Mar 2009, 6:55 am
So, learning of Frank's outrage over AIG, I decided to do something I had intended to do when the Democrat's conflict of interest came to light, write to my Congressman, Henry Waxman, asking to refer the matter to the House Ethics Committee. [read post]
11 Mar 2009, 2:28 pm
"Size matters not," 7th U.S. [read post]
6 Jan 2009, 5:30 am
A great many brands hint at it, but Frank-Lin has gone right to the heart of the matter, launching Sex in a Bottle. [read post]
10 Jul 2017, 7:09 am
The court disagreed, however, saying that a purported whistleblower employed by a private company cannot invoke the whistleblower protections of SOX and Dodd-Frank merely because her employer happens to contract with public companies on matters unrelated to the alleged whistleblowing. [read post]
