Monthly Disciplinary Actions February 2015

Monthly Disciplinary Actions February 2015 | FINRA.org

Monthly Disciplinary Actions February 2015. Monthly Disciplinary Actions February 2015.pdf · ARBITRATION & MEDIATION. FINRA operates the largest securities ...

Disciplinary and Other FINRA Actions Reported for February 2015

having weekly expirations with positions having monthly expirations. Merrill Lynch, Pierce,. Fenner & Smith Incorporated's customers exceeded ...

IDFPR | Consolidated Reports

All monthly disciplinary reports are accurate on the date of issuance or initial date of publication. However, disciplinary actions may be subject to ...

Tennessee Regulatory Board Disciplinary Actions - TN.gov

We compile the disciplinary actions of our Regulatory Boards for public inspection ... Regulatory Board Disciplinary Actions. 2024, Jan · Feb · Mar · Apr · May ...

CSG Law Alert: FINRA's April 2024 Monthly Disciplinary Actions ...

It is no surprise, therefore, that FINRA's April 2024 Monthly Disciplinary Actions Report contains a case against a broker-dealer for failing to ...

Disciplinary Actions and Reinstatements

A licensee files an appeal in Superior Court asking the court to overturn the Board's disciplinary decision. Pleadings Filed by Month. 2024. October 2024 ...

Health Professionals Boards Disciplinary Actions - TN.gov

Listed below are the monthly summaries of disciplinary actions taken against health professionals and/or unlicensed individuals.

FDIC Enforcement Actions

Enforcement orders and notices are announced to the public in a monthly ... In October 2006 we discontinued replicating the remaining vestiges of ED&O's ...

Colorado Medical Board: Board Actions

Monthly Board Actions This online version of the Board Actions is the ... April 9, 2015. This Order is open for public inspection and is reported as ...

Enforcement Actions | Louisiana Department of Environmental Quality

Enforcement actions are being updated on a monthly basis. The reports are current up to the previous month due to the time lapse between generation, receipt, ...

Disciplinary Newsletters - dopl.utah.gov

The Division releases a monthly newsletter outlining the disciplinary actions taken against licensees during the previous month.

DISCIPLINARY ACTION - Arkansas Department of Health

Date of Action: February 9, 2015. Action Taken: Consent Order ... Action Taken: Six-month probation – Cease & Desist. Violations: A.C.A. 17 ...

Summary of Enforcement Actions - DRE

This page provides access to the Summary of Enforcement Actions monthly report from the California Department of Real Estate (DRE) ... February · August.

Press Releases - SEC.gov

2015, 2014, 2013, 2012. Month: -View All-, January, February, March, April, May, June ... JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement ...

Discipline Reports - WV RN Board

These reports are updated on a monthly basis. Prior to taking any actions related to the information on this page, please check the Online Verification System ...

Enforcement Actions | Office of the Professions

Applicable disciplinary information will be listed under the Enforcement Actions tab within the search results. In New York State, professional misconduct in ...

Immigration Enforcement and Legal Processes Monthly Tables | OHSS

Office of Homeland Security Statistics monthly data tables describing immigration enforcement and legal processes. Includes data from September 2023 to June ...

The Visa Bulletin - Travel.gov

The Final Action Dates and Dates for Filing published within the Visa Bulletins on this site are listed in the DAY-MONTH-YEAR (dd-mmm-yy) format.

RELEASE: DCCA DISCIPLINARY ACTIONS (Through August 2024)

A summary of disciplinary actions through the month of August 2024, taken on individuals and entities with professional and vocational licenses in Hawai'i.

Healthcare Quality Enforcement Actions

Healthcare Quality administrative and consent orders are reported to DPH on a monthly basis. Each report contains the administrative and consent orders that ...