en.wikipedia.org/wiki/Broker-dealer

In financial services, a broker-dealer is a natural person, company or other organization that ... All brokers and dealers that are registered with the SEC ( pursuant to 15 .... Smith, Regulation of Investment Companies, §7.05 (Matthew Bender, 2013 ed.) ... v · t · e · Financial markets. Types of markets · Primary market · Secondary ...

www.slcg.com/pdf/sampleresults/Bender%20v%20UBS%20PR%20Award.pdf

Jun 22, 2018 ... VS. Respondents. UBS Financial Services, Inc. UBS Financial Services ... individually and as TTEE of the Shaked Bender Family Trust and the ...

www.finra.org/sites/default/files/OHO-Doni-2011027007901-041816_0.pdf

Jun 6, 2016 ... Complainant, v. SHASHISHEKHAR DONI. (CRD No. 5095109),. Respondent. ...... 139 Matthew Bender, 3-26[8], Business Torts § 26.09 (2016).

www.nyls.edu/center-for-business-and-financial-law/projects/finra-arbitration-awards-project/finra-2013

Detroit, Michigan, Anthony V. Trogan, Esq. Elizabeth M. Hill, Esq. Breach of ...... attorneys' fees; costs; interest (8% from date of sale), William J. Bender (P), N/A ...

www.jud.ct.gov/external/supapp/Cases/AROcr/258cr141.pdf

Bender v. Bender, 255 Conn. 914, 763 A.2d 1037 (2000). After reviewing the record and the parties' ... 46b-81 to be equitably distributed (classification); sec-.

www.quimbee.com/cases/bender-v-bender

A summary and case brief of Bender v. Bender, including the facts, issue, rule of law, holding and reasoning, key terms, and concurrences and dissents.

www.clm.com/docs/fflrp8-2014.pdf

Aug 11, 2014 ... “NEITHER ADMIT NOR DENY” SETTLEMENT WITH THE SEC AND CLARIFIES STANDARD FOR ... For information on other Matthew Bender publications, please call .... M&A Transactions, including Landreth Timber Co. v.

www.sec.gov/litigation/admin/2018/34-83408.pdf

Jun 12, 2018 ... E.g., Grandon v. Merrill Lynch & Co., Inc., 147 F. 3d 184, 189. (2d Cir. 1998). In the instant matter, the prevailing market price for the security ...

scarincihollenbeck.com/attorneys/dan-brecher

Securities and Investment Banking attorney Dan Brecher has experience in serving as general counsel of New York Stock Exchange and NASD/FINRA.