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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]
4 Dec 2014, 12:03 pm by Sam Glover
Featured image: “Secure shopping icon” from Shutterstock. [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]
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]
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]
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]
19 Mar 2015, 9:15 am by Elizabeth Gormley
Social Security is a federal program that provides financial benefits to retired or disabled individuals. [read post]
11 Oct 2017, 3:08 pm by jpadmin
If you think about it, bankruptcy really should make you less of a security risk. [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]
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]
14 May 2009, 11:20 am
Direct and Derivative Claims in Securities Fraud Litigation, by Richard A. [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]
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]
6 Nov 2013, 10:58 am by Scot Ganow
  In that same presentation, I used yet again a very tired, but accurate phrase when it comes to describing security breaches:  “It’s not IF you have a security breach, but WHEN you have a security breach. [read post]
14 Apr 2017, 5:58 am by Michelle Foster
As a Fairfax Social Security lawyer, I am frequently asked about Social Security Spousal Benefits. [read post]