Search for: "Nicholas Guiliano"
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16 Nov 2012, 9:14 am
CCO Investment Services Corp. is a wholly owned subsidiary of Citizens Financial Group, Inc., which is owned by the Royal Bank of Scotland, and in substantial part, operates from kiosks located in traditional retail bank branch offices of Citizens Bank. [read post]
17 Oct 2011, 1:38 pm
The practice of Nicholas J. [read post]
10 Feb 2012, 1:25 pm
Tough economic times call for investors to be wary, as financial professionals are tempted toward riskier behaviors, according to the Financial Industry Regulatory Industryandrsquo;s (FINRA) 2012 report on regulatory and examination priorities, released Jan. 31. [read post]
27 Oct 2011, 7:20 am
The annual report on enforcement actions to fight securities fraud released this month by the North American Securities Administrators Association, or NASAA, shows that actions pursued by state securities regulators increased by 51 percent in 2010 over the number of actions reported in the previous year. [read post]
13 Nov 2012, 11:54 am
andnbsp;SECURITIES ARBITRATION OUTLINE andamp; READING MATERIALS 1.andnbsp;andnbsp;andnbsp;andnbsp;andnbsp;andnbsp;andnbsp;andnbsp; Arbitration andndash; Overview andldquo;Equity is justice in that it goes beyond the written law. [read post]
22 Jun 2010, 9:16 am
Nicholas J. [read post]
9 Nov 2011, 9:36 am
The practice of Nicholas J. [read post]
9 Mar 2011, 6:19 am
Investors suffering losses in the Oppenheimer Rochester Funds may have claims against their stockbrokers or financial advisors for failure to perform due diligence. [read post]
25 Oct 2011, 9:51 am
Perhaps in response to large scale fraud of the kind surrounding the private placements of companies like Provident Royalties LLC, on Oct. 5, the Financial Industry Regulatory Authority, or FINRA, filed a new rule proposal with the Securities and Exchange Commission, or SEC. [read post]
9 Jun 2011, 9:28 am
The retail market for structured notes with principal protection has been growing in recent years. [read post]
7 Mar 2011, 12:17 pm
A class action is a form of lawsuit in which a large group of people collectively bring a claim to court or in which a class of defendants isandnbsp;sued. [read post]
11 Jan 2011, 10:27 am
FINRA announced yesterday that effective October 11, 2011, the old NASD Suitability Rule and NYSE Rule 405 have been consolidated.andnbsp; While some of the changes or explicit references in the new rule are helpful to investors, the new rule does not include securities transferred into an account, or arguably the recommendation to hold these securities purchased elsewhere. andnbsp; Know Your Customer andnbsp; In general, new FINRA Rule 2090 (Know Your Customer) is modeled after former NYSE Rule… [read post]
11 Jan 2011, 10:27 am
FINRA announced yesterday that effective October 11, 2011, the old NASD Suitability Rule and NYSE Rule 405 have been consolidated. [read post]
