The number of disciplinary actions against Wall Street firms and brokers was up 13% in 2010.
That nationwide database, not carried on the Web, includes disciplinary actions in the securities field.
Command Sergeant Major TERRANCE McWILLIAMS (Division West and Fort Carson, Colorado): No, we have not taken disciplinary actions.
This process would delay disciplinary actions used to protect workplace safety and drive up costs due to increased litigation.
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She suggested a few disciplinary actions -- such as a ban from the bus and athletic activities or community service.
Health Grades confirmed he was board certified and had no disciplinary actions.
The agency filed 5, 922 disciplinary actions, barred 1, 766 investment professionals from the business, suspended 1, 752 others, expelled 84 member firms and suspended 11 more.
And even more on the upside, FINRA recently announced the launch of a new disciplinary actions database that will make disciplinary information more accessible to the general public.
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We now publicize on our Web site disciplinary actions--fines and suspensions--against our members and also post our written queries to companies regarding unusual trading activity of their shares on the Internet.
Sure, there were disciplinary actions, warnings and suspensions.
Have regulators taken any disciplinary actions against them?
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Before Navistar was finished with all the restatements, SEC investigations, lawsuits, fines, clawbacks and disciplinary actions against their former CFO and current CEO, internal investigations, restructuring, and delisting and eventual re-listing on the New York Stock Exchange, the company admitted as much.
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There could be player suspensions for Smith to deal with as well after Madjid Bougherra and El Hadji Diouf were ordered to appear before the SFA's disciplinary committee following their actions in the same Old Firm derby.
Mr Annies gave a full explanation of his actions to a disciplinary hearing held at his Barry delivery office on 1 September.
"These cases are the first in which members have been subject to internal disciplinary proceedings in respect of actions which have also been the subject of criminal prosecution, " it said.
An internal inquiry into police actions during the summit resulted in disciplinary action against the head of Italy's anti-terrorism unit, the country's second highest-ranking police officer and the Genoa police chief.
One of these actions is to launch a global inter-disciplinary program on ocean acidification risk assessment, which would assist countries in formulating mitigation responses.
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