en.wikipedia.org/wiki/U.S._Securities_and_Exchange_Commission

The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United ..... Lemke, Lins and Smith, Regulation of Investment Companies ( Matthew Bender, 2013 ed.). ^ "How the SEC Protects .... v · t · e. Chairmen of the United States Securities and Exchange Commission. Kennedy · Landis · Douglas  ...

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.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.finra.org/sites/default/files/NACDecision/p006982.pdf

Keeley v. Morgan Stanley Dean Witter Servs. Co., No. 604887/98, slip op., ..... FISCHER, UNDERSTANDING REMEDIES §294, at 684 (Mathew Bender & Co.

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

Apr 18, 2016 ... Complainant, v. SHASHISHEKHAR DONI. (CRD No. 5095109),. Respondent. ...... 139 Matthew Bender, 3-26[8], Business Torts § 26.09 (2016).

www.finra.org/sites/default/files/NACDecision/p121100.pdf

Mar 3, 2010 ... See NASD Rule 9263(a); cf Noel Shows, Inc. v. United States, 721 ..... Federal Practice § 132.01 [2] (Matthew Bender 3d ed. 2009). The second ...

www.finra.org/sites/default/files/NAC_Decision_2011027007901.pdf

Dated: July 25, 2014 vs. Shashishekhar Doni. Forest Hills, NY,. Respondent. ... Enforcement v. Merhi ..... 3-26 Business Torts § 26.09[07] (Matthew Bender & Co., .

www.securitieslosses.com/blog/2015/01/do-statutes-of-limitation-apply-to-finra-arbitrations.shtml

Jan 26, 2015 ... However, when dealing with FINRA arbitrations, the answer to this straight- forward, threshold question becomes much murkier. FINRA ... Sixth Circuit - Merrill Lynch, Pierce, Fenner & Smith, Inc. v. ... (Matthew Bender 2014).