Search for: "SEC v. National Securities, Inc." Results 41 - 60 of 521
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28 Jun 2018, 5:32 am
(FINRA National Adjudicatory Council Decision, Complaint No. 2009017440201  / March 15, 2017)https://www.finra.org/sites/default/files/NAC_2009017440201_Ottimo%2C_031517_0.pdfAs set forth in the preamble of the SEC Opinion:Louis Ottimo, a former registered representative with EKN Financial Services Inc. (“EKN”), a former FINRA member firm, seeks review of a FINRA disciplinary action finding that he fraudulently omitted information from his biography in a… [read post]
5 Dec 2023, 9:01 pm by Michael C. Dorf
For example, in the 1943 case of National Broadcasting Co., Inc. v. [read post]
11 Jan 2014, 9:43 am by John Elwood
(John Elwood) As promised, here is the brief submitted by a second group of professors, together with former SEC Commissioners, in Halliburton Inc. v. [read post]
25 Nov 2015, 2:04 pm by Ronald Mann
In an unusual twist, though, Merrill Lynch, Pierce, Fenner, & Smith, Inc. v. [read post]
22 Jan 2021, 7:56 am by John Jascob
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
1 Sep 2020, 6:23 am
In addition, a petition for a writ of certiorari was filed in National Retirement Fund v. [read post]
23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New Hampshire in… [read post]
1 Nov 2021, 1:04 am by The White Law Group
  The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]