Search for: "Executive Security Services, Inc."
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19 Dec 2017, 2:53 pm
(d/b/a Umbrellastream US Inc.) [read post]
21 Jan 2011, 9:46 am
Another brokerage firm, Jefferies andamp; Co., Inc. gave one of its brokers, Kevin W. [read post]
22 Apr 2021, 6:15 am
Broker-dealers under the Advisor Group (which includes SagePoint Financial, Royal Alliance Associates Inc., Triad, Woodbury Financial Services, and FSC Securities) have increased legal reserves by about $4.4 million compared to the prior year, according to SEC filings. [read post]
28 Apr 2009, 11:04 am
Daggs, chief executive of Wells Fargo Investments, said in a statement. [read post]
16 Aug 2016, 7:45 am
Richard Salmen, CFP (FPA), who has served in the past as a national President of the Financial Planning Association, is currently the Chief Executive Officer of Northern Financial Advisors, Inc. [read post]
27 Mar 2023, 9:01 pm
For the second year in a row, the “Electronic Technology and Technology Services” and “Health Technology and Services” sectors represented over half of all filings (54%). [read post]
23 Mar 2012, 3:00 am
Khan sought to serve process via the Russian Ministry of Justice, which is the central authority for Hague Service Convention purposes, but the Ministry refused to execute the request for service, citing Article 13, which provides that the state addressed may refuse to comply with a request for service if and only if “it deems that compliance would infringe on its sovereignty or security.” This is not an uncommon move where the defendant is a… [read post]
28 Dec 2020, 7:45 am
In an action likely to have far-reaching implications for digital asset offerings, the SEC brought an enforcement action against Ripple Labs, Inc. and two executives alleging that they raised over $1.3 billion through an unregistered, ongoing digital asset securities offering. [read post]
7 Nov 2011, 7:16 am
Patterson Services, Inc., ___ S.W.3d ___, 2011 WL 2925910 (Tex. [read post]
7 Nov 2011, 7:16 am
Patterson Services, Inc., ___ S.W.3d ___, 2011 WL 2925910 (Tex. [read post]
21 Aug 2017, 12:39 pm
” The program allowed clients to pay “a single fee for investment advisory services, trade execution services, custody and other standard brokerage services. [read post]
11 May 2012, 6:27 pm
Inc. v. [read post]
23 Nov 2020, 7:19 pm
Truckers’ logs showing whether they complied with Hours of Service rules are high on the list of evidence to secure. [read post]
27 Mar 2012, 8:13 pm
FINRA says that Citigroup Inc. subsidiary Citi International Financial Services LLC must pay over $1.2M in restitution, fines, and interest over alleged excessive markdowns and markups on agency and corporate bond transactions and supervisory violations. [read post]
20 Sep 2022, 6:11 am
Woodford & Son, Inc., 2022 WL 4129410 (Super. [read post]
7 Feb 2023, 3:37 pm
" The post DEI Inc. v. [read post]
20 Jan 2016, 7:29 am
Keyser is reportedly registered with Dawson James Securities, Inc. in Boca Raton, Florida. [read post]
20 Mar 2012, 6:56 am
The markups and markdowns ranged from 2.73 percent to over 10 percent, and were excessive given market conditions, the cost of executing the transactions and the value of the services rendered to the customers, among other factors. [read post]
22 Dec 2009, 7:01 pm
PrimEdge Inc. eventually bought both companies and Schuster became PrimEdge chief executive and president. [read post]
8 Jun 2020, 8:18 am
The company, E*Hedge Securities, Inc., is registered as an investment adviser with the SEC. [read post]
