Search for: "Working Group on Securities Disclosure Authority" Results 61 - 80 of 2,594
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22 Feb 2019, 8:25 am by Matthew Landis
You Should Be Thinking About Data Security; and When Does a Data Breach Require Disclosure Under Pennsylvania’s Data Breach Notification Act?. [read post]
9 Sep 2020, 6:06 am by Silver Law Group
Most recently, Hoffman was registered with Ameriprise Financial Services, LLC from 2016-2020 and prior to that, Hoffman worked for Wedbush Securities Inc. [read post]
19 Jul 2023, 9:05 pm by renholding
Although not a silver bullet, it is likely to have positive consequences of decreasing GHGs, advancing work to prepare for the worsening physical impacts of climate change, and encouraging climate friendly innovations.[10] The SEC and possibly California are not the only authorities that are expanding their securities and corporate disclosure requirements to encompass more information about climate change. [read post]
13 Feb 2024, 10:47 am by The White Law Group
The post Brett Hartvigson Barred from Securities Industry  appeared first on The White Law Group. [read post]
2 Mar 2021, 12:23 pm by Renae Lloyd
According to Bedwell’s broker profile, he has worked at 5 different firms during his 10 years in the securities industry. [read post]
8 Dec 2020, 7:46 am by Renae Lloyd
Robert Halldin Reportedly Barred after Allegations of Selling Securities away from Member Firm The Financial Industry Regulatory Authority has reportedly barred broker Robert Halldin from the securities industry. [read post]
9 Jan 2014, 7:53 pm by Benjamin Wittes
The authority to issue these national security letters (NSLs) is comparable to the authority to issue administrative subpoenas. [read post]
1 May 2023, 8:42 am by The White Law Group
    If you have suffered losses investing with Damian Baird, the securities attorneys at the White Law Group may be able to help you. [read post]
22 May 2012, 1:05 pm by Cynthia Marcotte Stamer
The Department of Labor’s Employee Benefits Security Administration (EBSA) has made a technical correction to recently released participant-level fee disclosure regulation  (29 CFR § 2550.404a-5) contained in Field Assistance Bulletin No. 2012-02 (Fab 2012-02) as initially released on May 7, 2012. [read post]
22 Sep 2021, 10:28 am by The White Law Group
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois. [read post]
4 Aug 2021, 11:40 am by The White Law Group
When brokers abuse client accounts or conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
11 Jan 2021, 5:01 am by William Loomis, Stewart Scott
The Atlantic Council’s new project on software supply chain security, Breaking Trust, which we co-authored, shows that this kind of vulnerability results in some of the most consequential and sophisticated software supply chain attacks, often perpetrated by state-backed actors. [read post]
11 Mar 2021, 8:30 am by Renae Lloyd
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 by Renae Lloyd
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 by Renae Lloyd
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 by Renae Lloyd
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]
26 Mar 2018, 12:06 pm by Renae Lloyd
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]
5 Aug 2019, 9:05 am by Renae Lloyd
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]
23 Sep 2021, 8:41 am by John Jascob
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]