Search for: "U. S. v. Carver"
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7 Jan 2020, 6:59 am
In FINRA’s written decision, it noted that “[u]nsatisfied liens and judgments in particular are significant because they raise concerns about whether a registered representative can responsibly manage his own financial affairs,” and “they may cast doubt on a person’s ability to provide trustworthy financial advice and services to investors who rely on that person to act on their behalf as a securities industry professional. [read post]
11 Jan 2019, 10:20 am
FINRA’s By-Laws, specifically Article V, Section 2(c) require all financial advisors update their U-4 with information required to be disclosed within thirty days of learning of the event requiring the disclosure. [read post]
23 Feb 2014, 3:55 am
David Boxley, nationally renowned carver and culture bearer formed the Git-Hoan Dancers in his efforts to revive, practice and share the Tsimshian way of life that was once forbidden. [read post]
15 May 2017, 10:28 am
Carver, 260 U. [read post]
26 Sep 2011, 7:19 am
” In the New York Times, Steven Greenhouse reports that labor unions have reacted to the Court’s ruling in Citizens United v. [read post]
23 Mar 2016, 2:35 pm
U. [read post]
8 Apr 2019, 3:05 pm
Open micJanis Pilch, Rutgers U: domestically it seems obvious that litigation on 512 can’t change the systemic problem of infringement and the impossibility for most rightsholders to litigate. 512 sets up a permanent conflict b/t service providers and rightsholders. [read post]
30 Mar 2023, 6:33 pm
” People v Norman, 2004 NY Slip Op 51851(U). [read post]
