Implicit in all member and associated person relationships with customers and others is the fundamental responsibility for fair dealing.
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An associated person may not limit or place conditions on an 8210 request.
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Associated person Cammarota entered the securities industry in September 2011 with SagePoint Financial, where he remained until his discharge on November 14, 2011.
Based upon the above allegations, the AWC asserted that Weiss knew or should have known that the answers provided by the two reps on the Outside Business Activity Disclosure Statements were inaccurate, resulting in his failure to properly supervise in accordance with NASD Conduct Rule 3030: Outside Business Activities of an Associated Person, which caused violations of NASD Conduct Rules 3010: Supervision and 2110: General Standards.
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No person associated with a member shall participate in any manner in a private securities transaction except in accordance with the requirements of this Rule.
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No member or person associated with a member shall guarantee a customer against loss in connection with any securities transaction or in any securities account of such customer.
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And once this story and the associated videos go viral, yet another person (and perhaps multiple persons) associated with behavioral misconduct in collegiate athletics should be without a job.
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Michel Bernard, the top government official in Reims, told The Associated Press that one person was seriously injured.
In the men who scored highest on hostile sexism, the part of the brain associated with analyzing another person's thoughts, feelings and intentions was inactive while viewing scantily clad women, Fiske said.
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The person spoke to The Associated Press on condition of anonymity because the deal was waiting approval.
WSJ: Sacramento Kings Moving to Seattle to Become Reborn SuperSonics
The person spoke to The Associated Press on condition of anonymity because the contract had not been announced.
The person spoke to The Associated Press on condition of anonymity because the separation agreement has not yet been finalized.
The person spoke to The Associated Press Tuesday on condition of anonymity because the deals both are pending the players passing physicals.
These innovative insurance coverages get to the heart of the issue: How can a company reimburse itself for the financial costs associated with the disability of a key person or owner?
Whisenhunt, recently fired after six seasons with the Cardinals, visited the Browns away from their headquarters in Berea, Ohio, said one person who spoke to The Associated Press on condition of anonymity because of the sensitivity of the search.
"He was a very good person and very smart person, " Connerton told The Associated Press by telephone from Rochester, Minn.
The letter was first reported Thursday by Velonews.com and The Associated Press independently obtained a copy from a person familiar with the case.
The New York Yankees' reliever plans to announce this weekend that he will retire after the 2013 season, a person familiar with the decision told The Associated Press on Thursday.
The backup agreement would have the Seattle group, led by investor Chris Hansen and Microsoft Chairman Steve Ballmer, purchase a limited ownership of the Maloofs stake in the Kings, a person with knowledge of the deal told The Associated Press on Saturday.
"There is a certain person who's coming that's intimately associated with getting the production on in the first place - our friend Bob from Los Angeles, " May confirmed.
Some types of muscular dystrophy shorten the person's lifespan, often by affecting the muscles associated with breathing.
The person was not authorized to speak publicly and spoke to The Associated Press on condition of anonymity.
Turner and its parent, subsidiary, affiliated and associated companies accept no responsibility or liability for injury or loss to any person or property relating to the award of any prize.
My subpoenas and court order did not contain the name of the person that I suspected of stalking me, only the IP addresses associated with each ISP.
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Dr Ruth McNerney, of the London School of Hygiene and Tropical Medicine, told The Associated Press that the instrument has the potential to infect those seated near a person blowing a vuvuzela because a "lot of breath goes through" it.
Mantega, who is associated with a highly interventionist approach to policy making, would not be the best person for this task.
The mortar fell in the Goma neighbourhood of Ndosho, killing one person and injuring four, said UN peacekeeping mission spokesman Madnodje Mounoubai, Associated Press news agency reports.
Research suggests that being unemployed doubles a person's chance of a major depressive episode and that unemployment is also highly associated with domestic violence and alcohol abuse, Leahy said.
It's not a phrase any politician would welcome -- no one seeking the voting public's goodwill wants to be associated with traffic headaches -- but that's how it is these days, whether the person in office is a Democrat or a Republican.
When the terminally- ill person died, it is alleged that Caramadre and others reaped substantial profits by exercising death benefits associated with the investments.
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