Search for: "security"
Results 41 - 60 of 242,284
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
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]
29 May 2014, 2:58 pm by Jonathan Kurta
  According to FINRA and Newport Coast Securities, Inc., the fine resulted from Newport Coast Securities, Inc. [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]
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]
5 Feb 2015, 1:43 pm by rexsecuritieslaw
In addition, … Continue reading Souza Barros Securities Sanctioned by Securities Regulator → [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]
4 Dec 2014, 12:03 pm by Sam Glover
Featured image: “Secure shopping icon” from Shutterstock. [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]
11 Nov 2015, 11:45 am by rexsecuritieslaw
The complaint alleges that misrepresentations include: prior wells drilled were … Continue reading Plano Based Red River Securities and Brian Hardwick Named In Securities Complaint → [read post]
17 Feb 2014, 1:46 pm by Eric C. Chaffee
Saleh Jaberi has posted Solving Securities Exchange Disputes by Means of Ombudsmen: Does It Work? [read post]
22 Jan 2014, 4:19 pm by Eric C. Chaffee
Natalia Polezhaeva has posted Self-Regulatory Organizations of Professional Securities Market Participants: Membership Features on SSRN with the following abstract: Based on the analysis of Russian legislation and self-regulatory organizations of professional securities market participants documents the article describes the main... [read post]
14 May 2009, 11:20 am
Direct and Derivative Claims in Securities Fraud Litigation, by Richard A. [read post]
2 Aug 2009, 6:43 am
Post-American Securities Regulation, by Chris Brummer, Georgetown University Law Center, was recently posted on SSRN. [read post]
29 May 2011, 7:29 am by Securites Lawprof
Here is the abstract: The Commodity Futures Modernization Act of 2000 (the "CFMA") established that most swaps were not securities... [read post]