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...Since then, officials from regulators, including the Securities and Exchange Commission‘s Caroline Crenshaw, as well as Massachusetts’ top securities regulator, Commonwealth Secretary William Galvin, have...
...“This is an issue of investor protection and companies cannot be allowed to rubber-stamp these applications without doing their due diligence, all in the name of efficiency,” said William Galvin, Massachusetts...
...“It’s clear that MassMutual was not as diligent as it should have been in supervising its employees,” said William Galvin, Massachusetts secretary of the commonwealth....
...Bruce MacEwen of Adam Smith Esq, a boutique management consultancy for law firms, likens the bonuses to “combat pay”....
...“We have seen a big uptick in young families and young, single working people moving to the Cape for their primary home,” says Katie Clancy of local estate agent William Raveis....
...“As a broker-dealer, Robinhood has a duty to protect its customers and their money,” said William Galvin, the Massachusetts secretary of the commonwealth....
...Matthew Galvin Global legal and compliance director, AB InBev Clients and colleagues alike describe Matthew Galvin as one of those rare lawyers who combine ability to be commercial without compromising...
...William Galvin, the state’s secretary of the commonwealth, said it had sent letters to retail brokerages Charles Schwab, Scottrade, TD Ameritrade, Fidelity, E* Trade, Edward Jones and Morgan Stanley inquiring...
...School of Hygiene and Tropical Medicine Prof Steven Haberman Professor of Actuarial Science, Cass Business School, City, University of London Prof Andrew Clare Associate Dean, Cass Business School Dr William...
...Green Esq. How about a hard Brexit with a soft centre? Andrew Mackenzie, boss of BHP Billiton, the world’s largest miner, has called for a “hard-headed” separation from the EU....
...William Galvin, a Massachusetts securities regulator, accused Morgan Stanley Smith Barney — the New York-based bank’s retail brokerage — of running an “unethical sales contest to cross-sell banking business...
...Massachusetts Secretary of the Commonwealth, William Galvin, said in a statement that “average investors do not expect to be cut off from trading in an open-end investment company.”...
...On the eve of the Massachusetts primary close to 20,000 voters in the state left the Democratic party, according to William Galvin, Massachusetts’ secretary of state....
...William Galvin, secretary of the commonwealth of Massachusetts, said on Monday that his office had opened an investigation into Third Avenue’s “unprecedented decision”....
...The precarious state of Puerto Rico’s municipal debt market has come into focus after William Galvin, Massachusetts secretary of the commonwealth, launched an investigation into sales of the US territory...
...The Orgelbüchlein Project, curated by William Whitehead, aims to complete the book with new compositions by living composers, and the most recent five were performed here....
...William Galvin, Massachusetts secretary, said the inquiry aimed to determine whether Massachusetts investors were “adequately made aware of the risks associated with the securities, and when the funds first...
...“Now,” says Crawford, who owns one of America’s largest furniture rental firms, “can you guess my relationship with William Wallace?” His eyes are twinkling....
...Galvin, who heads the watchdog....
...However, in his consent order, William Galvin, Massachusetts secretary, said that Morgan Stanley had failed to properly supervise its employees during the IPO....
...The internal correspondence came to light following subpoenas from William Galvin, Massachusetts secretary of the commonwealth, who was investigating controversies over the disclosure of information surrounding...
...The lawsuit by William Galvin, the Massachusetts securities regulator, alleges Putnam Advisory failed to disclose to investors in two $1.5bn collateralised debt obligations the “material conflict of interest...
...William Galvin, chief executive, said not all the cash-strapped employers were in as tough a spot as the data suggested....
...“Frankly, they could get away with it,” says Tony Williams of Jomati, a legal industry consultant....
...Born in 1922 in Marshfield, Wisconsin, Robert William Galvin attended Evanston Township High School in Evanston, Illinois....
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