Search for: "Working Group on Securities Disclosure Authority"
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11 Mar 2021, 8:30 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
11 Mar 2021, 8:30 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
10 Mar 2017, 7:28 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
26 Mar 2018, 12:06 pm
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
17 Dec 2020, 11:55 am
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. [read post]
9 Apr 2018, 8:27 am
Prior to that, he worked for First Midwest Securities in Huntington, NY from May 2009 until March 2015. [read post]
5 Aug 2019, 9:05 am
When brokers violate securities laws, such as participating in private securities transactions or taking loans from customers, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
9 Jul 2018, 8:27 am
By virtue of the foregoing, Biderman has been barred from working in the securities industry. [read post]
20 Sep 2019, 12:16 pm
According to public disclosures on FINRA’s website, the regulator reportedly barred Ziesemer from working in the securities industry after he failed to respond to FINRA’s request for information in its investigation. [read post]
23 Sep 2021, 8:41 am
If certain digital assets and the products and services provided are not currently within the SEC’s clear authority, the group suggested that the Commission ensure that investors are well informed that they are not working with SEC-regulated entities.Investors in digital assets should know that their service providers may not be subject to the fiduciary duties that accompany securities-related activities, including brokers’ duty of best execution, the… [read post]
7 Oct 2019, 8:53 am
Lamont from working in the securities industry for 18 months and fined him $10,000. [read post]
16 Jun 2022, 6:58 am
The SEC would be granted authority to exempt emerging growth companies from some of the disclosure requirements. [read post]
19 Dec 2017, 7:39 am
Koonce has six disclosure events listed on his Broker Report. [read post]
17 Mar 2021, 9:51 am
The White Law Group is investigating potential securities claims involving Cambridge Investment Research Inc. [read post]
14 Jun 2021, 8:09 am
Companies face only a patchwork of vague disclosure requirements imposed by state privacy laws, the Federal Trade Commission, securities laws, and industry-specific regulatory bodies. [read post]
25 Sep 2019, 6:36 am
According to public disclosures on FINRA’s website, Craig L. [read post]
13 Apr 2023, 5:01 am
New Approaches to Secure Software Supply Chains Drawing on the expertise of an international expert working group, one of us recently co-authored a report for the Berlin-based tech policy think tank Stiftung Neue Verantwortung seeking to provide policymakers on both sides of the Atlantic with a toolbox to strengthen software supply chain security. [read post]
26 Nov 2020, 12:09 pm
Lamont from working in the securities industry for 18 months and fined him $10,000. [read post]
21 Aug 2017, 1:30 pm
In the fourteen years that Diaz was working in the securities industry, he was purportedly fired by or allowed to resign from more than half of the eleven firms he was employed with. [read post]
26 Mar 2011, 3:10 pm
Traditionally, securities regulators have focused on transparency and disclosure. [read post]
