Search for: "National Securities Corporation"
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20 Nov 2020, 3:23 pm
Consistent with that theme, many governments are paying more attention to the national security implications of corporate transactions involving foreign investors (e.g. the Huawei/5G network debate). [read post]
2 Feb 2016, 4:15 am
The latter is the real national-security threat. [read post]
30 Jun 2020, 6:43 am
What are the broader implications for America's technological ecosystem and national security? [read post]
25 Apr 2005, 12:29 pm
[corporate website], Chubb Corp., Swiss Re AG [corporate website], Berkshire Hathaway Inc.'s unit National Indemnity Company of the South and [read post]
5 Jul 2022, 8:00 am
Broker-Dealer Ordered to Pay Customers More Than $625K in Restitution The Financial Industry Regulatory Authority (FINRA) sanctioned National Securities Corporation for about $9M, including $4.77M disgorgement in net profits. [read post]
20 Mar 2023, 6:10 am
Citing the importance of sanctions and export control enforcement in US national security, Monaco noted that corporations “are on the front lines of today’s geopolitical and national security challenges” and that “corporate criminal investigations carry profound national security implications. [read post]
13 Apr 2005, 7:27 am
[corporate website] with the National Labor Relations Board (NLRB) [official website] to determine whether the company bribed employees to block union activities. [read post]
9 Feb 2005, 5:28 am
[JURIST] Leading Wednesday's corporations and securities law news, the SEC has announced that three Bank of America Corp. [read post]
17 Jun 2005, 8:23 am
[JURIST] Leading Friday's corporations and securities law news, New York Attorney General Eliot Spitzer [Wikipedia profilie] has been sued by the US Department of the Treasury's Comptroller of the Currency [official website] and by the Clearing House [corporate website], a group representing national banks. [read post]
1 Jun 2018, 8:09 am
But the 2016 election suggests that we should think more seriously about the national-security consequences of corporate data collection, as well. [read post]
18 Mar 2020, 7:32 am
Continue Reading › The post Shepherd Smith Edwards and Kantas Investigates Investor Claims Involving Cline Financial Group and National Securities Corporation appeared first on Investor Lawyers Blog. [read post]
1 Mar 2021, 2:43 pm
FINRA has barred Great Nation Investment Corporation President, and CEO Bryon Pat Treat from the securities industry. [read post]
15 Apr 2022, 7:10 am
Boca Raton, FL-based National Securities Corporation has received a fine of $663,000 after FINRA found that it deceived investors from December 2017 through January 2018. [read post]
2 Apr 2015, 8:23 pm
Breakthrough Technologies for National Security: “For more than fifty years, DARPA [Defense Advanced Research Projects Agency] has held to a singular and enduring mission: To make pivotal investments in breakthrough technologies for national security. [read post]
8 Nov 2004, 5:26 am
[JURIST] In Monday's corporations and securities law news, securities regulator National Association of Securities Dealers (NASD) has announced that it has brought charges against H&R Block Inc. for fraudulently promoting Enron Corp. bonds to customers just weeks before the energy giant declared bankruptcy in 2001. [read post]
2 Jan 2019, 6:29 am
This month, we report on new legislation proposed by the British government (the “Government”) which would give it greater powers to block or unwind corporate transactions on national security grounds, representing an intended move by the UK toward a CFIUS model. [read post]
18 Jan 2024, 3:30 am
However, in recent months, the DOJ has signaled an additional priority: corporate enforcement related to national security issues. [read post]
31 Jan 2019, 12:58 pm
According to BrokerCheck records financial advisor Robert Abramowitz (Abramowitz), currently employed by National Securities Corporation (National Securities) has been subject to at least three customer complaints. [read post]
18 Nov 2011, 2:00 am
This post details the connection between national security issues and financial institution policies. [read post]
15 Nov 2004, 5:44 am
[JURIST] In Monday's corporations and securities law news, Dow Jones & Co. has settled a defamation suit with Australian mining magnate Joe Gutnick. [read post]
