Search for: "Working Group on Securities Disclosure Authority"
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9 Jul 2019, 9:48 am
Previous brokerage firms that he worked with include McGinn Smith & Co., Benson York Group, RD White & Co., and LCP Capital Corp. [read post]
6 Jun 2023, 7:49 am
Broker Investigation: Jeffrey Cohen of Moloney Securities On June 5, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor Jeffrey Cohen (CRD #2528929) from the securities industry. [read post]
25 Jun 2019, 12:44 pm
” The MSD claims that it obtained “valuable feedback” from “current and prospective clients” as part of its “Fee Table working group,” and that “[g]enerally, the clients and prospective clients surveyed found the Fee Table easier to use than the narrative disclosure in the [Form ADV] Brochure. [read post]
12 Apr 2019, 6:29 am
Silver Law Group represents investors in securities and investment fraud cases against investment firms such as SagePoint Financial. [read post]
8 Oct 2013, 6:35 am
” (The CFPB acknowledges in the supplementary information that it lacks authority to waive state disclosure requirements but states that it will endeavor to work with state regulators to secure their support for a particular trial disclosure program.) [read post]
14 Nov 2018, 9:56 am
Harrington reportedly worked for 17 different firms during his 20 years working as broker in the securities industry. [read post]
14 Nov 2018, 9:56 am
Harrington reportedly worked for 17 different firms during his 20 years working as broker in the securities industry. [read post]
14 Apr 2023, 6:23 am
Should law enforcement authorities be allowed to access, read, and store communications from U.S. citizens to foreign members of private group chats? [read post]
12 May 2015, 5:30 am
The speech was entitled Toward Greater Transparency of National Security Legal Work. [read post]
7 Aug 2017, 3:24 pm
Securities and Exchange Commission, as these entities work toward developing strong regulatory, supervisory and other financial sector policies. [read post]
7 Mar 2011, 8:06 pm
If you need assistance in auditing or assessing, updating or defending your health plan or policies, documents, practices or conduct, or other labor and employment, employee benefit, compensation, privacy and data security, or other related practices, please contact the author of this update, attorney Cynthia Marcotte Stamer here or at (469)767-8872. [read post]
6 Oct 2016, 6:21 pm
California adopted the first data breach notification law in the nation in 2002, and has consistently worked to ensure that its law remains at the forefront of data security laws in the United States. [read post]
6 Oct 2016, 6:21 pm
California adopted the first data breach notification law in the nation in 2002, and has consistently worked to ensure that its law remains at the forefront of data security laws in the United States. [read post]
21 Oct 2019, 10:52 am
According public disclosures on the Financial Industry Regulatory Authority’s website on October 18, financial advisor Dennis Mehringer Jr. was reportedly barred from working in the securities industry after he allegedly failed to provide testimony in FINRA’s investigation into whether he “had engaged in unsuitable trading and other misconduct during the period from January 2017 through May 2018. [read post]
26 Dec 2013, 7:05 am
The Review Group would have such non-disclosure orders issue only with a specific finding that disclosure would threaten national security or otherwise threaten important interests. [read post]
16 Mar 2018, 1:39 pm
According to his FINRA BrokerCheck Report, Woods was registered with 17 different firms during his 13 years working in the securities industry. [read post]
8 Sep 2022, 9:01 pm
I’m going to guess that you did not take on the work on behalf of a dispersed, unidentified group of individuals in an “ecosystem. [read post]
19 Dec 2013, 9:00 pm
National Security Letter (NSL) authorities should effectively be revoked. [read post]
11 Jul 2022, 11:29 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
24 Aug 2012, 4:23 pm
Because it is authorized under Title X of Dodd-Frank, it is not subject to the Jan. 21, 2013 final rule deadline for rules under Title XIV of Dodd-Frank. [read post]
