…keep the fallowing n mod when tang this statement to ha yea JAMS: brokerage seedy This statement combats you general maga ac cunt nsth the spec& memorandum account required by Section 220 6 Regulatan T As censored by Regubbon T…
…variable (Table SI). Tobit regression allows us to account for the fact that contribution amounts were censored at 0 and 40 (the minimum and maximum contribution amounts). In the first regression, we take log-10 transformed decision time as the…
…employees participated in improper bidding practices involving the temporary investment of municipal securities proceeds during the 1998-2002 period. The 2010 Order censured BAS, and ordered BAS to (1) cease and desist from committing or causing such violations and future…
…in the SHO Order to (1) cease and desist from committing or causing any violations and any future violations of Rule 203(b) of Regulation SHO; (2) be censured; (3) pay disgorgement of $1,566,245.67 plus prejudgment interest…
…not nipped, but crushed. Yet, in order that the victims of them nay be censured, each for his own particular fault, I say that they must be instructed, not merely wept over. EFTA_R1_00546669 …
…Little Rock. FINRA FINES STEPHENS INC. $900,000 FOR INADEQUATE SUPERVISION OF RESEARCH DEPARTMENT EMAILS: The Financial Industry Regulatory Authority recently announced that it has censured Stephens Inc., and fined the Little Rock investment firm $900,000 for inadequately supervising…
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