Proofpoint Announces Intelligent Supervision and Compliance Gateway to Help Customers with FINRA and SEC Audits
June 01, 2016 08:05 ET
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Proofpoint, Inc.
Cloud-based Intelligent Supervision is the first compliance monitoring platform to reduce audit time by 35 percentCompliance Gateway provides mandatory evidence and simplifies the audit process ...
Fitapelli Kurta Files Arbitration Claim Involving Merrill Lynch Advisor Jacquin Fink
April 29, 2016 05:00 ET
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Fitapelli Kurta
NEW YORK, April 29, 2016 (GLOBE NEWSWIRE) -- New York City based securities attorneys, Fitapelli Kurta, recently filed an arbitration claim before the Financial Industry Regulatory Authority, or...
Jenks & Harvey LLP Speaks on Investment Opportunities in Latin America
March 04, 2016 14:47 ET
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Jenks & Harvey LLP
WEST PALM BEACH, Fla., March 04, 2016 (GLOBE NEWSWIRE) -- Robert J. Harvey of the securities litigation and arbitration law firm of Jenks & Harvey LLP (www.jenksharveylaw.com) was a panelist...
Law Offices of David Harrison Announce Investors Win $825,000 in FINRA Arbitration for Morgan Stanley Smith Barney’s Failure to Properly Conduct Pre-Hiring Due Diligence
February 03, 2016 18:19 ET
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Law Offices of David Harrison
BEVERLY HILLS, Calif., Feb. 03, 2016 (GLOBE NEWSWIRE) -- Law Offices of David Harrison announce a FINRA arbitration panel on February 1, 2016 rendered its decision and ordered Morgan...
CGE Energy Ticker Symbol Changes to “CGEI”, Effective October 12, 2015
October 12, 2015 09:30 ET
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CGE Energy
BRIGHTON, Mich., Oct. 12, 2015 (GLOBE NEWSWIRE) -- CGE Energy (OTCPink:CGEI), a high-growth energy solutions provider, announced today that its OTC Markets ticker symbol will change to "CGEI",...
Silver Law Group Investigates Arthur Jacob, CPA and Innovative Business Solutions, LLC
October 08, 2015 14:50 ET
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Silver Law Group
BOCA RATON, Fla., Oct. 08, 2015 (GLOBE NEWSWIRE) -- According to recent Securities and Exchange Commission’s (“SEC”) allegations, from approximately 2009 through at least July 2014, Mr. Jacob and...
RegEd to Participate in 2015 FINRA Advertising Regulation Conference and Host Client Advisory Board
September 29, 2015 09:00 ET
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RegEd
Raleigh, NC, Sept. 29, 2015 (GLOBE NEWSWIRE) -- RegEd, the leading provider of compliance and risk management technology to broker-dealers and other financial services firms, including the...
2015 Pentaho Excellence Award Winners Announced
September 24, 2015 09:00 ET
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Pentaho, a Hitachi Group Company
SAN FRANCISCO, Sept. 24, 2015 (GLOBE NEWSWIRE) -- Delivering the future of analytics, Pentaho, a Hitachi Data Systems company today announced the category winners of the 2015 Pentaho...
Financial Regulation and Compliance: New Book by Former SEC Inspector General on Navigating an Increasingly Complex Regulatory Environment
August 11, 2015 08:00 ET
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Berkeley Research Group, LLC
EMERYVILLE, CA--(Marketwired - August 11, 2015) - H. David Kotz's new book, Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight, provides compliance...
Silver Law Group Investigates Former Merrill Lynch Broker Thomas Buck
July 30, 2015 11:23 ET
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Silver Law Group
BOCA RATON, Fla., July 30, 2015 (GLOBE NEWSWIRE) -- Silver Law Group (www.silverlaw.com) is investigating claims against Indiana-based stockbroker Thomas Buck, who earlier this week was barred by...