Sentence examples for sales violations from inspiring English sources

It has investigated the sale of mutual fund B shares by brokerage firms since 2000 and in the last two years has brought more than half a dozen enforcement cases involving sales violations.

Moreover, the report's conclusions echoed those of an investigation in 1999 by the Defense Department's inspector general, who had chosen 11 bases at random and found insurance sales violations at every one.

Wal-Mart Stores has agreed to pay $14.5 million in fines and other costs to settle a state lawsuit over thousands of gun sales violations at California stores between 2000 and 2003.

Black-market sales and violations of copyright are not new, and China has long been notoriously lax in its protection of international copyright.

Companies with a high concentration of employees who have been associated with firms that were expelled for sales practice violations must tape phone conversations with current and future customers.

Tyco International advanced 72 cents, to $16.77, reversing some of the sell-off that came after news on Monday that the chief executive, L. Dennis Kozlowski, had resigned because of a sales tax violations scandal.

Kord you say that declining customer win and recovery rate suggests that there's no penalty or price to pay for sales practice violations.

Currently Blair is reportedly being investigated for sales practice violations and more by the Securities & Exchange Commission, federal prosecutors and a task force of state securities regulators.

Brokers are required to notify the NASD if they have been accused of forgery or theft in the previous 24 months or have received complaints alleging such sales practice violations as fraud, misrepresentation or negligence involving more than $5,000.

Between February 2009 and April 2010, Venable engaged in various sales practice violations related to transactions that he effected in the accounts of 14 Firm customers regarding Direxion, a highly speculative and volatile exchange traded fund.

Among the cases she handled were those involving specialist and floor broker misconduct, insider trading, upstairs trading, sales practice violations, and financial and operational compliance issues.