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Registered Rep.
June 1, 2005
Bill Singer |
Fess Up: The Firm Will Find Out Anyway Some applicants tend to find out the hard way that the securities industry is extra keen on keeping it clean when it comes to new hires. Here is a sampling of recent New York Stock Exchange cases that demonstrate this point.   |
Registered Rep.
March 1, 2003
Bill Singer |
The Truth and Nothing But the Truth When it comes to filling out paperwork for a job in the securities industry, here's a good rule of thumb: Tell the truth. It sounds obvious, but Stephanie Ann Dixon actually got contradictory advice. |
Registered Rep.
April 1, 2008
Bill Singer |
One Too Many For The Road Drinking and driving is a very bad idea for a lot of reasons. And for advisors, here's one more: It could make it impossible for you to work for a broker/dealer for a long time. |
On Wall Street
September 1, 2013
Alan J. Foxman |
Legal Expert Discusses Form U4 and Youthful Indiscretions Is a youthful indiscretion with a fake ID reportable on your U4? Do contributions from investors count toward a broker-dealer's net capital? |
BusinessWeek
May 13, 2010 |
Former Hewlett-Packard Chairman Patricia Dunn The former Hewlett-Packard chairman on fighting criminal fraud charges in 2006 after a company investigation of leaks to reporters |
InternetNews
April 27, 2006
Roy Mark |
Feds Charge Five More in Warez Crackdown Five more individuals are facing criminal copyright charges as part of the Department of Justice's ongoing crackdown on warez dealers. |
Reason
April 2004
Anderson & Jackson |
Washington's Biggest Crime Problem The federal government's ever-expanding criminal code is an affront to justice and the Constitution. |
InternetNews
November 16, 2006
David Needle |
Another Guilty Plea in DRAM Price Fixing Scandal The U.S. Department of Justice announced today that a former executive of Elpida Memory, a large Japanese manufacturer of DRAM chips, agreed to plead guilty for his participation in a global conspiracy to fix prices. |
Chemistry World
November 19, 2012
Andrew Turley |
BP to pay 4.5 billion for disaster Oil super major BP has agreed to pay $4 billion in fines and penalties and plead guilty to criminal charges for the 2010 Deepwater Horizon disaster, which killed 11 people and spilled millions of barrels of oil into the Gulf of Mexico. |
InternetNews
December 1, 2005
Roy Mark |
Samsung Pleads Guilty to Price Fixing Korean electronics giant Samsung agrees to pay second-largest criminal antitrust fine in U.S. history. |
Registered Rep.
June 1, 2004 |
Haunted by the Past A stockbroker looks for removal of antiquated felony charges on his U4/U5... Is there any problem in recommending a 15- or 25-year maturity CD to a client in her mid-to-late 90s?... |
InternetNews
March 14, 2007 |
Calif. Drops Felony Charges Against Dunn in HP Scandal Patricia Dunn is expected to plead to misdemeanor charges in connection with the HP media leak scandal. |
Real Estate Portfolio
July 2000
Lorna Pappas |
Mega to The Max Super-regional entertainment and value-oriented mega-malls are the hallmark of the Mills Corporation of Arlington, Va.---one of the fastest growing, publicly traded retail REITs in the nation.... |
InternetNews
April 11, 2007
Roy Mark |
DoJ Loses Bid to Block Prisoner's Testimony Judge clears way for notorious I.D. theft con man's appearance before Senate Finance Committee. |
The Motley Fool
December 21, 2005
Rich Smith |
Foolish Forecast: General Mills Overall, we're looking at seriously muted expectations for the company tomorrow. That's good. With most of Wall Street down on General Mills, there's a decent chance for savvy investors to see something the professionals miss. |
InternetNews
December 21, 2006
David Needle |
Samsung Exec Pleads Guilty in DRAM Probe Prison time for Young Hwan Park in computer memory price-fixing case. |
InternetNews
November 26, 2008
Richard Adhikari |
ID Thieves Hit Federal Credit Unions, Consumers Sophisticated crooks are charged with filching funds from credit unions for the Senate, Navy and State Department while stealing millions from consumers' home equity lines of credit. |
The Motley Fool
May 10, 2010
Jennifer Schonberger |
What Stocks Look Good Now Karl Mills, president and chief investment officer of Jurika, Mills & Keifer, says he thinks the selling seems overdone for a number of good companies. |
InternetNews
January 18, 2007
David Needle |
Plea Deal Said to Be Offered in HP Pretexting Case Former HP chairman Patricia Dunn reportedly offered a deal that would drop felony charges. |
InternetNews
June 30, 2005
Roy Mark |
DOJ Hits Warez Networks Federal agents launch 70 raids aimed at first providers of illegally distributed copyrighted works. The arrested were all active on warez networks that distribute the copies illegally through the Internet. |
InternetNews
December 15, 2004
Tim Gray |
Time Warner Settles Fraud Case Time Warner said today that it has agreed to pay $210 million in criminal and civil fines to settle a federal fraud case stemming from allegedly shady advertising deals within its America Online division. |
InternetNews
November 11, 2005
Roy Mark |
Public Knowledge Pans AG's Copyright Proposal Digital rights group Public Knowledge picks apart legislation that puts copyright theft in criminal code. |
InternetNews
January 6, 2004
Colin Haley |
IBM Korea Scandal Prompts U.S. Inquiries The DOJ and SEC are reportedly looking into bribery and bid-rigging allegations against the IT giant's South Korean subsidiary. |
National Real Estate Investor
April 1, 2006
Matt Hudgins |
Mills' Woes Mount Less than a week after warning that it may make material adjustments to its 2004 and 2005 financial statements, ambitious mall developer The Mills Corp. disclosed that informal questioning by the SEC has elevated to a formal investigation. |
The Motley Fool
March 24, 2011
Andrew Bond |
This Food Giant Can Battle Inflation Better General Mills has been able to pass on costs and increase profits. |
The Motley Fool
March 23, 2006
Stephen D. Simpson |
General Mills a Healthy Food Choice The company seems largely free of many of the problems in food stocks. Assuming you have room in your portfolio for a modestly undervalued yet consistent "safe" stock, General Mills might be worth a closer look. |
The Motley Fool
July 5, 2011
Neha Chamaria |
General Mills Feels the Crunch Rising costs means General Mills has to trim its forecast. |
IndustryWeek
July 20, 2011
Jill Jusko |
Energy Use Under Attack General Mills drives $600,000 in savings with energy meters. |
Reason
April 2004
Cathy Young |
Abuse Revisited A feminist challenges the conventional wisdom about domestic violence. Mills concludes that using the "big stick" of the law as our dominant (or only) response to domestic violence ill-serves both women and men. |
