Search for: "Working Group on Securities Disclosure Authority" Results 121 - 140 of 2,525
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22 Nov 2019, 12:44 pm by Renae Lloyd
When brokers violate securities laws, such as participating in private securities transactions, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
1 Aug 2019, 11:15 am by Renae Lloyd
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
25 Apr 2019, 12:33 pm by Renae Lloyd
Bashaw, who has worked in the securities industry for 33 years, was reportedly named a top adviser in Texas by Barron’s magazine in 2011 with $3.8 billion in total client assets. [read post]
13 Jan 2021, 7:01 am by Renae Lloyd
When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
27 Apr 2017, 2:32 pm by Renae Lloyd
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
17 Feb 2023, 5:06 am by The White Law Group
No previous arbitration, securities, or legal experience is required, only five years of paid work experience and two years of college level credits is required to become an arbitrator. [read post]
19 Feb 2013, 11:01 am by Debra A. McCurdy
Rotella, Jr. (215-851-8123 or srotella@reedsmith.com), or any other member of the Reed Smith Health Care Group with whom you work, if you would like additional information or if you have any questions. [read post]
6 Jun 2016, 11:40 am by Cory Doctorow
This exit condition is for the group to continue its work on arriving at a consensus agreement on protecting security disclosure and independent reimplementation, reflecting a compromise that all parties can live with. [read post]
11 Dec 2017, 10:59 am by Renae Lloyd
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
23 Mar 2022, 9:44 am by The White Law Group
Reda (CRD#: 2757330) reportedly submitted an Offer of Settlement to the previous charges filed against him and is barred from working in the securities industry. [read post]
3 Jan 2014, 1:23 pm by Raffaela Wakeman
 The group had sought disclosure of a 2010 Office of Legal Counsel opinion dealing with the FBI’s use of national security letters in the wake of 9/11. [read post]
27 Mar 2020, 6:00 am by Yaya J. Fanusie
Disclosure: In his private consulting work, the author provides consulting services to technology firms, some of which provide blockchain analysis software. [read post]
2 Aug 2011, 8:49 am by Harley Geiger
The HIPAA Security Rule currently requires covered entities to monitor access to electronic PHI. [read post]
10 Jul 2020, 1:05 pm by Silver Law Group
Before working for UBS Financial Services (CRD# 8174) starting in 2015, Turlan was previously registered with BBVA Securities Inc. [read post]
1 Apr 2016, 10:16 am by Paul Otto and Brian Kennedy
Fifteen months after forming an Internet of Things (IoT) working group, on March 2, 2016, the Online Trust Alliance (OTA) released a final version of its IoT Framework (Framework) along with a companion Resource Guide that provides explanations and additional resources. [read post]
23 Nov 2020, 2:14 pm by Silver Law Group
Scott Silver, managing partner of Silver Law Group, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors across the country in securities investment fraud cases. [read post]