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Article
Publication date: 6 July 2015

Brian Rubin and Andrew M. McCormick

– To analyze the cases and sanctions FINRA reported in 2014 and prior years to evaluate what issues may be important for broker-dealers and their representatives in the future.

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Abstract

Purpose

To analyze the cases and sanctions FINRA reported in 2014 and prior years to evaluate what issues may be important for broker-dealers and their representatives in the future.

Design/methodology/approach

This article discusses the overall statistics for cases reported by FINRA in 2014 and then focuses on the top enforcement issues for FINRA and some of the key cases. All of this analysis includes a comparison to enforcement statistics from prior years to help identify potential trends.

Findings

This article concludes that 2014 was a blockbuster year for FINRA as the fines imposed by the regulator increased by 125 per cent. This article also finds that while FINRA is still focusing on many of the same issues as before, including advertising and trade reporting, other issues, such as anti-money laundering, received a significant spike in attention in 2014.

Originality/value

This article contains valuable information about recent FINRA enforcement activity and practical guidance from experienced securities lawyers.

Details

Journal of Investment Compliance, vol. 16 no. 2
Type: Research Article
ISSN: 1528-5812

Keywords

Article
Publication date: 1 March 2003

Esharenana E. Adomi

This article surveys university library users’ attitudes towards overdue fines. Users of the libraries of the University of Benin, Benin City, and Delta State University…

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Abstract

This article surveys university library users’ attitudes towards overdue fines. Users of the libraries of the University of Benin, Benin City, and Delta State University, Abraka, both in Nigeria, were used as subjects for the study. A total of 143 users who responded to a questionnaire participated in the study. Frequency counts, percentages and t‐test statistic were used to analyze data. Findings revealed the users’ opinions and feelings about overdue fines. No significant difference was found between either university library with respect to their users’ attitude toward overdue fines. Neither was any discovered in attitude between genders. This paper makes recommendations that can help libraries boost the collection of overdue fines.

Details

The Bottom Line, vol. 16 no. 1
Type: Research Article
ISSN: 0888-045X

Keywords

Book part
Publication date: 17 October 2005

Anwar Ouassini

As a general response to Gary Alan Fines article, The Sad Demise, Mysterious Disappearance and Glorious Triumph of Symbolic Interactionism, this performance narrative…

Abstract

As a general response to Gary Alan Fines article, The Sad Demise, Mysterious Disappearance and Glorious Triumph of Symbolic Interactionism, this performance narrative account of a dialogue between G. Fine (Dr. Gary Alan Fine) and Sowsh Stud (Sociology student) intends to explain the subtleties of the current state of Symbolic Interactionism through the use of hip hop/inner city gangster terminology; drawing many parallels between Symbolic Interactionism as a discipline and street gang cultures to show that Symbolic Interactionism as a “gang” and Symbolic Interactionists as “gangsters” embrace the same gangster mentality, as they continuously try to find an identity and role within the gang (S.I.).

Details

Studies in Symbolic Interaction
Type: Book
ISBN: 978-0-7623-1186-6

Abstract

Details

The Political Economy of Antitrust
Type: Book
ISBN: 978-0-44453-093-6

Abstract

Details

The Political Economy of Antitrust
Type: Book
ISBN: 978-0-44453-093-6

Abstract

Many jurisdictions fine illegal cartels using penalty guidelines that presume an arbitrary 10% overcharge. This article surveys more than 700 published economic studies and judicial decisions that contain 2,041 quantitative estimates of overcharges of hard-core cartels. The primary findings are: (1) the median average long-run overcharge for all types of cartels over all time periods is 23.0%; (2) the mean average is at least 49%; (3) overcharges reached their zenith in 1891–1945 and have trended downward ever since; (4) 6% of the cartel episodes are zero; (5) median overcharges of international-membership cartels are 38% higher than those of domestic cartels; (6) convicted cartels are on average 19% more effective at raising prices as unpunished cartels; (7) bid-rigging conduct displays 25% lower markups than price-fixing cartels; (8) contemporary cartels targeted by class actions have higher overcharges; and (9) when cartels operate at peak effectiveness, price changes are 60–80% higher than the whole episode. Historical penalty guidelines aimed at optimally deterring cartels are likely to be too low.

Details

The Law and Economics of Class Actions
Type: Book
ISBN: 978-1-78350-951-5

Keywords

Article
Publication date: 7 March 2022

Tan Vo-Thanh, Mustafeed Zaman, Rajibul Hasan, Shahriar Akter and Thac Dang-Van

This study aims to examine the perceived value of service digitalization in fine-dining restaurants in France. No study exists on this topic, and its aim is to address…

Abstract

Purpose

This study aims to examine the perceived value of service digitalization in fine-dining restaurants in France. No study exists on this topic, and its aim is to address this research gap. To do so, a conceptual framework of the perceived benefits and costs of the service digitalization was developed. This study also provides actionable recommendations for fine-dining restaurant managers to create and manage an optimized fine-dining experience for their customers.

Design/methodology/approach

To obtain in-depth information, the authors opted for a qualitative research approach. The authors interviewed 24 fine-dining restaurant managers (listed in the Michelin Guide) and 29 customers of fine-dining restaurants using a video titled “The Restaurant of the Future.”

Findings

The findings underline the perceived benefits and costs of service digitalization for both restaurant managers and their customers. This study highlights that fine-dining restaurants are highly experience-centric compared to other types of restaurants and recommends which services should be digitalized and which should not be to create and manage experiences throughout the customer journey.

Practical implications

This research provides restaurants with actionable recommendations in terms of service digitalization to enhance customers’ fine-dining experiences.

Originality/value

This research fills a gap by proposing a conceptual framework to examine the digitalization of services in fine-dining restaurants.

Details

International Journal of Contemporary Hospitality Management, vol. 34 no. 9
Type: Research Article
ISSN: 0959-6119

Keywords

Article
Publication date: 10 December 2021

Merve Engin

This paper aims to investigate the influences of fines and precipitated calcium carbonate (PCC) pigment and their contents on the fundamental properties of handsheets and…

Abstract

Purpose

This paper aims to investigate the influences of fines and precipitated calcium carbonate (PCC) pigment and their contents on the fundamental properties of handsheets and also evaluate these results in terms of mechanical and chemical data.

Design/methodology/approach

A design research approach has been based on the production of various laboratory handmade papers. Any of the paper additives were not added to the paper web to compare the results of the effects of fines and PCC pigment in a literal way. For this purpose, the target grammages of handsheets and the production variables such as pulp consistency, temperature and other variables of formation, pressing and drying processes were kept constant and studied meticulously.

Findings

This study is confirmed that with the addition of fines to the pulp of the control handsheets, an increase of up to 125% has been observed in the tensile index values, while a decrease of up to 30% has been observed with the addition of PCC pigment as filler. The tensile results have been changed depending on the pulp content and hence chemical bonds formed in the paper web. These mechanical changes have been explained by correlating with the data of FT-IR spectrums. Especially, the variations have been seen at 950–1150 cm−1, which referring to C-OH and C-O-C stretching vibrations.

Originality/value

The originality of this work is based on understanding and comparing the effects of fines and the effect of PCC pigment as a paper filler on the structural and chemical characteristics of laboratory-made handsheets.

Details

Pigment & Resin Technology, vol. ahead-of-print no. ahead-of-print
Type: Research Article
ISSN: 0369-9420

Keywords

Article
Publication date: 3 August 2021

Denglin Fu, Yanan Wen, Jida Chen, Lansi Lu, Ting Yan, Chaohui Liao, Wei He, Shijin Chen and Lizhao Sheng

The purpose of this paper is to study an electrolytic etching method to prepare fine lines on printed circuit board (PCB). And the influence of organics on the side…

Abstract

Purpose

The purpose of this paper is to study an electrolytic etching method to prepare fine lines on printed circuit board (PCB). And the influence of organics on the side corrosion protection of PCB fine lines during electrolytic etching is studied in detail.

Design/methodology/approach

In this paper, the etching factor of PCB fine lines produced by new method and the traditional method was analyzed by the metallographic microscope. In addition, field emission scanning electron microscopy (SEM) and X-ray photoelectron spectroscopy (XPS) were used to study the inhibition of undercut of the four organometallic corrosion inhibitors with 2,5-dimercapto-1,3,4-thiadiazole, benzotriazole, l-phenylalanine and l-tryptophan in the electrolytic etching process.

Findings

The SEM results show that corrosion inhibitors can greatly inhibit undercut of PCB fine lines during electrolytic etching process. XPS results indicate that N and S atoms on corrosion inhibitors can form covalent bonds with copper during electrolytic etching process, which can be adsorbed on sidewall of PCB fine lines to form a dense protective film, thereby inhibiting undercut of PCB fine lines. Quantum chemical calculations show that four corrosion inhibitor molecules tend to be parallel to copper surface and adsorb on copper surface in an optimal form. COMSOL Multiphysics simulation revealed that there is a significant difference in the amount of corrosion inhibitor adsorbed on sidewall of the fine line and the etching area.

Originality/value

As a clean production technology, electrolytic etching method has a good development indicator for the production of high-quality fine lines in PCB industry in the future. And it is of great significance in saving resources and reducing environmental pollution.

Details

Circuit World, vol. ahead-of-print no. ahead-of-print
Type: Research Article
ISSN: 0305-6120

Keywords

Article
Publication date: 3 July 2017

Brian Rubin and Adam Pollet

To analyze FINRA’s 2016 sanctions and cases, the issues that resulted in the most significant fines, emerging enforcement trends, and make predictions about key issues for…

Abstract

Purpose

To analyze FINRA’s 2016 sanctions and cases, the issues that resulted in the most significant fines, emerging enforcement trends, and make predictions about key issues for FINRA for 2017 and beyond.

Design/methodology/approach

Discusses the sanctions and disciplinary actions in 2016 and prior years; details the top 2016 enforcement issues measured by total fines assessed, including anti-money laundering, variable annuities, trade reporting, books and records, and unregistered securities; explains current enforcement trends, including fines of $1 million or more, sanctions against compliance officers, and suitability cases; and analyzes three enforcement topics that will likely continue to receive heightened attention from FINRA in 2017 and beyond: restitution, cybersecurity, and senior investors.

Findings

The fines ordered by FINRA in 2016 reached an all-time high while the amount of restitution ordered and the number of disciplinary actions remained on par with prior years.

Practical implications

Firms and their representatives should heed the trends in both the substantial fines FINRA is ordering and the related enforcement issues in the cases FINRA has brought.

Originality/value

Expert analysis and guidance from experienced securities enforcement lawyers.

Details

Journal of Investment Compliance, vol. 18 no. 2
Type: Research Article
ISSN: 1528-5812

Keywords

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