Greeff, a senior partner in Adams and Peck, a member firm of the New York Stock Exchange.
That applies in the aggregate for a preparer who is a member of a firm that reasonably expects to file that many.
Scott is indicated as not having been registered with a FINRA member firm since August 2011.
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The risk of failure of a large member firm outside of the United States is especially acute.
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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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.
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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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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Christopher Darden has taught at law schools and is a member of a law firm.
According to research by CEB, a member-based advisory firm, 90% of the organizations they surveyed had some type of data breach in the past year.
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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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Hey I went from being a staff member in the second largest firm in Worcester, Mass to being a partner in the second largest firm in New England without ever looking for a job.
Ian Brokenshire, from accounting firm KPMG and a member of Plymouth Chamber of Commerce and the Area Business Council, will be part of the task force.
Danny Diaz, a member of Washington political-consulting firm FP1 Strategies, who acts as the Alliance's spokesman, declined to disclose whether the majority of its funding came from large retailers.
In a move that could be described as "totally unsurprising, " Palm shareholders have approved the much-discussed partial sale of the company to a private equity firm called Elevation Partners (of which Bono is a member), and also a change in the board of director's makeup.
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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As a board member at both Citigroup, a big American bank, and Alcoa, an American aluminium firm, he is well connected.
Grabe, a Lenovo board member and managing director with private equity firm General Atlantic.
Michele Hirshman, Spitzer's former deputy attorney general and now a member of a high-powered New York law firm, has been retained to represent the governor.
He was previously a managing director at Salomon Brothers and was a member of the executive committee in charge of the firm's four research departments.
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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"Dan's very much a trigger puller, but the stuff he can do in a moment's notice isn't always going to work, " says board member Mark Jennings, a founder of the venture firm Generation Partners.
As a member of the Western alliance, Bulgaria is surrounded by firm U.S. allies.
Professor Brian Morgan, a member of Hafren Power's regional board, the firm behind the scheme, said Mr Ferguson's comments were "preposterous".
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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As an official member of the ruling classes, first in a BigLaw firm and then as a Professor of Constitutional Law at the University of Chicago, he was able to make the contacts necessary to make serious bids for political office.
He is the founder and executive member of Delphi Global Analysis Group, a geopolitical risk management firm.
Fridman is also a member of the super wealthy AAR consortium, a private equity firm that represents the four oligarchs that own half of TNK-BP.
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The company did not say if it knew that Mr. Quimper, who was providing its law firm with tax advice, was also a board member at PeruPetro.
This year the firm backed both the Olympic Games - as a member of the IOC top partners programme, and also the Paralympic Games, which it has supported since 1992.
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