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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Explaining waveforms is a little harder — in fact, I have yet to meet a person associated with the JTRS program who can do it simply, even though waveforms are central to the design concept.
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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.
Bottom line: Prenda and the other Troll only have the public IP address associated with the ISP subscriber (person who pays the bill) to go by when try to get people to settle.
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 concept of capping Medicaid spending per person instead of per state is mostly associated with Republicans — Rep. Bill Cassidy (R-LA) is pushing the approach in a bill called the Medicaid Accountability and Care Act — but former President Bill Clinton also entertained the idea in 1997.
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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.
Frankly, I consider that chicken-shit behavior on the part of the person or persons involved and no longer want to be associated with them.
The person was not authorized to speak publicly and spoke to The Associated Press on condition of anonymity.
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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