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Award
File Format: PDF/Adobe Acrobat - View as HTML employment with Raymond James and considered employment at other broker-dealers after declaring that the planned merger announcement between Claimant and ...
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Sims Moss Kline & Davis LLP » News
May 15, 2007 ... Raymond L. Moss Elected Member of the Congress of Fellows .... In the summer of 1998, Gerald B. Kline and Raymond L. Moss published an ...
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NoO'Jays'show leads to lawsuit
File Format: PDF/Adobe Acrobat - View as HTML leads to lawsuit. • Students at Albany State Uni- .... Hopkins, sitting in Birmingham, rejected. B.L. Harbert's bid to vacate the award, and ...
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Sims Moss Kline & Davis LLP » Liability Of Clearing Firms - page 1
But is a clearing firm an appropriate liability target? Are clearing firms ... Do some clearing firms create liability for themselves where others do not? ...
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Sims Moss Kline & Davis LLP » Liability Of Clearing Firms - page 1
Liability Of Clearing Firms: Traditional and Developing Perspectives. By: Gerald B. Kline, Esq. and Raymond L. Moss, Esq. ...
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Sims Moss Kline & Davis LLP » Liability Of Clearing Firms - page 1
Are clearing firms responsible for the alleged wrongdoings of introducing ... Do some clearing firms create liability for themselves where others do not? ...
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Sims Moss Kline & Davis LLP » Liability Of Clearing Firms - page 1
The Role of Clearing Firms. In a typical securities clearing arrangement, an "introducing broker" formally contracts with a "clearing" or "carrying" broker ...
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PerTrac Solutions
File Format: PDF/Adobe Acrobat - View as HTML IM-2210-6 specifies the items to be disclosed and, somewhat less precisely, the manner in which the ... website, IM-2210-6 does not require that the disclo- ...
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New CFTC Flexibility for Hedge Fund Managers
File Format: PDF/Adobe Acrobat - View as HTML President, United Gulf Management • Faraz Naqvi. Principal. Pequot Capital Management • Alan Chuang, Directa of. Investments. ...
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