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12 Jun 2017, 7:16 am by Fitapelli Kurta
It is registered with the Securities and Exchange Commission and FINRA. [read post]
8 Sep 2011, 4:16 am by Winston Penhall
In order to gain a valid security interest in Jersey over shares, the security holder needs to either (i) hold the physical share certificates (which would require uncertificated shares held by a Jersey vehicle to be reissued in certificated form); or (ii) be registered as the legal title holder of the shares (which not all security interest holders would find desirable). [read post]
13 Aug 2014, 6:30 am by Daniel Martin - Solicitor
The debenture will grant the lender security over your assets until the borrowed money is paid back in full. [read post]
2 Aug 2018, 10:35 am by The Law Office of Philip D. Cave
For the past two years, the Defense Security Service (DSS) has been advising security officers to submit periodic reinvestigations for Tier 5 (Top Secret) investigations at the 6 year mark, rather than 5 years. [read post]
20 Jul 2012, 7:41 am by Erich Fabricius
In the legal lingo, these are all "secured transactions" aiming to create secured debts. [read post]
8 Jun 2013, 9:13 am by Jonathan
The post How to Coordinate Social Security Disability with Social Security Retirement Benefits appeared first on Social Security Disability Blog. [read post]
11 Aug 2010, 5:30 am
Thus, the claim fell within CAFA’s securities exception. [read post]
6 Sep 2017, 8:46 am by Joseph Meaney
Examples of adequate security include security officers, adequate lighting, functioning locks or key-in entry, and security cameras or alarms. [read post]
12 Aug 2015, 12:34 pm by rexsecuritieslaw
Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000 in personal expenses to the credit card of his member firm Bedrock Securities, and as chief operating officer of the firm, approved these expenses as … Continue reading Former Bedrok Securities COO Sanctioned by Securities Regulator → [read post]
17 Jun 2015, 8:54 am by rexsecuritieslaw
The findings in Disciplinary Proceeding No. 2011025318202, include: Between 2/2010-3/2012 Garden … Continue reading Garden State Securities Sanctioned by Securities Regulators → [read post]
5 Feb 2015, 1:43 pm by rexsecuritieslaw
In addition, … Continue reading Souza Barros Securities Sanctioned by Securities Regulator → [read post]
16 Nov 2015, 2:35 pm by rexsecuritieslaw
August 12, 2015- Dallas, Texas VCA Securities  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2012 to June 2014 VCA failed to have an adequate supervisory system and control procedures designed to review and monitor the transmittal of funds from customer accounts … Continue reading Dallas Based VCA Securities Censured by Securities… [read post]
4 Dec 2014, 12:03 pm by Sam Glover
Featured image: “Secure shopping icon” from Shutterstock. [read post]
19 Apr 2018, 10:02 am by Rex Securities Law
FINRA requires brokers and brokerage firms to report customer complaints and disputes as … Continue reading Park Avenue Securities Fined $300K by Securities Regulator → The post Park Avenue Securities Fined $300K by Securities Regulator appeared first on Rex Securities Law BLOG. [read post]
13 Jul 2015, 7:00 am by rexsecuritieslaw
July 2015 The Wisconsin  Division of Securities registers and monitors the activities of broker-dealers, securities agents, investment advisers, and investment adviser representatives. [read post]