Search for: "Richard K." Results 81 - 100 of 2,242
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6 May 2013, 7:54 am
The researchers, Celeste Kidd, Holly Palmeri, and Richard N. [read post]
25 Feb 2017, 11:21 am by Javier de Cendra
I should clarify at the outset that this comment deals mainly with the book by Richard and David Susskind, even if some links will be made to the book by Gillian K. [read post]
2 Jun 2009, 12:42 pm by K&L Gates
” Joining Brendel and de Cordova in Dubai is corporate associate Richard A. [read post]
2 Aug 2018, 12:51 pm by Staff Attorney
The securities attorneys at Gana Weinstein LLP are currently investigating previously registered broker Richard Minichino (Minichino). [read post]
6 May 2007, 4:58 pm
He currently serves as the secretary of Social, Economic, and Political Sciences Section (K) of the American Associate for the Advancement of Science. [read post]
11 Apr 2013, 11:08 am by D. Daxton White
The Securities and Exchange Commission recently announced the issuance of an Order Instituting Administrative And Cease-And-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Exchange Act), Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 (Advisers Act), and Section 9(b) of the Investment Company Act of 1940 (Investment Company Act) against Richard P. [read post]
28 Sep 2015, 8:58 am by Adam Weinstein
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Rasheed a/k/a Richard Adams (Adams) (FINRA No. 2015045911001) resulting in a bar from the securities industry alleging that between July 2013, and June 2014, Adams engaged in unsuitable excessive trading and churning in two of his customers’ accounts. [read post]