The five cited FINRA member firm respondents are indirect subsidiaries of ING Groep N.
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Scott is indicated as not having been registered with a FINRA member firm since August 2011.
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At that point, FINRA is not typically disposed to approve the sale of the member firm.
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In consideration of the above settlement, Collins was barred from associating with any FINRA member firm.
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Greeff, a senior partner in Adams and Peck, a member firm of the New York Stock Exchange.
Note that the regulatory scheme is one of authorization by the customer and acceptance by the member firm.
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The risk of failure of a large member firm outside of the United States is especially acute.
Given the facts in this case, the Panel barred Wheeler from association with any FINRA member firm in any capacity.
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You sort of have to wonder why anyone would want to be a supervisor at a FINRA member firm these days.
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The AWC characterized FINRA member firm Newport Coast as having changed its name in 1986 from that of Grant Bettingen, Inc.
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"That fast-forwards us to Wednesday, " Jonathan Corpina, senior managing partner at NYSE member firm Meridian Equity Partners, said before Tuesday's close became official.
Rapley entered the securities industry in 1995 and was registered with FINRA member firm Andrew Garrett, Inc. during the times relevant to this matter.
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Moreover, the member firm may assert that with the passage of time it realized that its earlier allegations were erroneous and promptly corrected the record.
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Although the member firm-supplied documents urging the Claimants to seek professional tax advice in meeting their tax reporting obligations, they chose not to do so.
Gulan entered the securities industry in 1998 and by December 2002 was registered with FINRA member firm Fintegra, LLC, where he remained until May 10, 2011.
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We believe the information provided in The Directory will assist investors in their determination whether to conduct or continue to conduct business with a NASD member firm.
We believe the information provided in the Directory will assist investors in their determination whether to conduct or continue to conduct business with an NASD member firm.
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It will be interesting to see whether FINRA subsequently brings a regulatory action against its member firm IPI for defaming a registered person on Forms U4 and U5.
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But now those firms are more broadly vulnerable to both regulation and litigation when any local member firm, now part of a large cross-border group, screws up an audit.
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Tucker had opportunities to make accurate filings each time he associated with a new member firm but repeatedly chose not to even after he acknowledged the deficiencies in his past filings.
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Why any trainee would lie about passing any registration examination is beyond me because these scores are part of a computerized database and are separately reported to the sponsoring member firm.
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Niederauer will look over NYSE's cash equities operations, including institutional and member firm group sales and client services for both the exchange floor and the electronic network acquired in last year's merger with Archipelago Holdings.
The registered person did not give specific tax advice and in fact Claimants received numerous documents notifying them that neither the registered person nor the member firm was in the business of giving tax advice.
Brad Oltmanns is the current Chairman of the PwC Global Board, which has responsibility for the governance of PricewaterhouseCoopers International Limited, the PwC Network, and oversight of the PwC Member Firm Network Leadership Team.
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In 2008, Royal Bank of Canada and FBW announced a merger agreement whereby RBC Dain Rauscher Inc. acquired FBW. Subsequently, Kuta subsequently was registered with FINRA member firm RBC Capital Markets Corporation from March through September 2009.
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In light of the relatively high-stakes numbers involved in this intra-industry dispute that pitted a former employee against a fairly substantial FINRA member firm, I think the minimalist nature of this Decision fails the industry and the public.
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That applies in the aggregate for a preparer who is a member of a firm that reasonably expects to file that many.
By forming a collaborative partnership with an HBS faculty member, your firm could gain the competitive advantage of finding answers first and, ultimately, make a difference for the world of business.
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Joe Sims, an antitrust partner at Jones Day and former member of the firm's partnership committee, said clients don't mind paying for associates, as long as they feel they are getting their money's worth.
Turkey might look a little more ripe for investments in 2011 when people like Mehmet Sami, executive board member of securities firm Ata Invest, anticipate that it will become an investment grade country.
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