The AWC alleges that UBS supervised Non-Traditional ETFs the same way it supervised traditional ETFs.
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The AWC asserts that according to Pacific Life, it never received the death claim paperwork.
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In accordance with the terms of the AWC, FINRA imposed a Bar upon Hastings.
In the Matter of Brokers International Financial Services, Inc, Respondent (AWC 2011025492901, April 4, 2012).
In the Matter of William Luther Crull, IV, Respondent (AWC 2010025740701, November 2, 2012).
What is missed is that the AWC states that you willfully failed to amend your Form U4.
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What is missed is that the AWC states that you wilfully failed to amend your Form U4.
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The AWC asserts that the reversal back up prompted the customer to purchase 13, 400 shares of MSHY.
In fact, I can imagine a number of factors and exacerbating circumstances that would make this AWC intelligible.
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In The Matter Of Andrew Martin Abern, Respondent (AWC 2010023535101, August 20, 2012).
In the Matter of Michael Jason Cox, Respondent (AWC 2012032213801, January 24, 2013).
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This is the 6th AWC in its current format with a finals tournament.
In the Matter of David Kevin Roddey, Respondent (AWC 20120336740, December 14, 2012).
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In the Matter of Dawn Gwen Wiley, Respondent (AWC 2012030982001, October 22, 2012).
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In the Matter of Donald Wayne Hastings, Respondent (AWC 2012033908301, February 14, 2013).
In the Matter of Kahauanu Lake Kai, Respondent (AWC 2011026684201, August 9, 2012).
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In the Matter of Curtis Leonard Mazer, Respondent (AWC 2011029274001, July 31, 2012).
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In the Matter of David Andrew Renn, Respondent (AWC 2012031041701, November 27, 2012).
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Finally, there is no suggestion in the AWC that the customer complained about any late payment, non-payment, or any irregularity.
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Further, on at least four occasions, the AWC alleges that Apostol had asked customers to sign blank forms for future use.
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Consequently, it is unclear as to whether this was an omission in the AWC or an erroneous assertion by Chase.
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The AWC further alleges that UBS also failed to establish adequate formal training regarding Non-Traditional ETFs during the Relevant Period.
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In addition to minority investments in growing companies, AWC partners with firms whose owners want to exit their businesses gradually.
The AWC charged Hemingway with violating NASD Conduct Rules 3030 and FINRA Rule 2010 (and its predecessor NASD Rule 2110).
The AWC asserts that Rapley had no prior disciplinary history with the SEC, any self-regulatory organization or any state securities regulator.
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Other competitors in the basic materials sector include: Aluminum Corp. of China (ACH), Alumina Limited (ADR) (AWC), and Noranda Aluminum (NOR).
On the other hand, this was not a contested case but an AWC in which Purington submitted an offer of settlement.
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When all is said and done, an AWC is a voluntary settlement and if Degenhart agreed to a Bar, so be it.
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Alumina Ltd. ( AWC - news - people )(AWC, 6.2) doesn't seem cheap at 27 times likely 2009 earnings.
In the Matter of Arthur Apostol, Respondent (AWC 2012032570701, February 5, 2013).
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