Search for: "Financial Security Services, LLC"
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10 Feb 2014, 6:01 am
Dahn (Dahn) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he privately borrowed money from at least two customers, an act constituting securities fraud, while being a registered representative of Mutual Service Corporation (MSC) and LPL Financial LLC (LPL). [read post]
4 Apr 2011, 2:17 pm
Several major retailers, credit card issuers, financial institutions and other companies that use Epsilon as a service provider have since notified their customers of the incident. [read post]
8 Apr 2008, 9:00 am
According to InvestmentNews, five brokers at the center of the collapse of Brookstreet Securities Corp. have filed a $36 million arbitration complaint against Brookstreet's former clearing firm, National Financial Services LLC, alleging that hundreds of millions of dollars that clients lost in highly leveraged collateralized mortgage obligations were directly attributable to National Financial Services'wrongful conduct.According to the… [read post]
3 Nov 2023, 10:39 am
This could include providing investment advice, portfolio management, or financial planning services. [read post]
1 May 2012, 2:22 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision... [read post]
31 Oct 2011, 1:46 pm
Results show that retaining the services of an experienced securities fraud attorney rather than attempting to file your claim on your own increases your chances of recouping your losses. [read post]
24 Nov 2018, 10:08 am
Thomas’ public disclosures state that his securities activity was conducted through a d/b/a – Dexter Thomas Financial Services, LLC. [read post]
14 Feb 2023, 7:04 am
Crypto firm Paxos Trust Company LLC Monday announced the New York Department of Financial Service (NYDFS) ordered them, effective February 21, 2023, to cease issuing new BUSD tokens with fellow crypto firm Binance. [read post]
10 Jun 2013, 9:49 am
On June 6, the United States Judicial Panel on Multidistrict Litigation issued a transfer order consolidating consumer fraud and securities actions brought by the attorneys general of fifteen states against Standard & Poor’s Financial Services LLC (S&P) and two related declaratory judgment actions brought by S&P. [read post]
12 Aug 2016, 7:22 am
He was discharged from the Firm in 2015 because he made misrepresentations in compliance forms he submitted.The FINRA case number for this matter is #2015046381101 and this decision is posted onhttp://disciplinaryactions.finra.org/ for public reference.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
24 Jan 2019, 11:14 am
His previous employers include International Assets Advisory, LLC (CRD #10645) and IAA Financial LLC (CRD #6578) of West Palm Beach, FL, and U.S. [read post]
17 Apr 2020, 3:00 am
Set Up a No-Cost Consultation with a Maryland Social Security Disability Attorney At the Law Offices of Steinhardt, Siskind and Lieberman, LLC, our team has extensive knowledge of all disability programs offered by SSA, including those related to vocational rehabilitation. [read post]
18 Jul 2016, 11:47 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
17 May 2018, 5:09 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, the Industrial and Commercial Bank of China Financial Services LLC, ("ICBCFS")submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
4 Apr 2018, 7:11 am
----Sallah Astarita & Cox, LLC represents financial professionals across the country in registration, compliance and arbitration matters. [read post]
4 Jan 2018, 9:44 am
According to BrokerCheck records financial advisor Jeffrey Wilson (Wilson), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to four customer complaints. [read post]
21 Jun 2022, 6:06 am
However, there are others that you will need to secure the services of a legal representative to undertake. [read post]
23 Nov 2016, 1:26 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael DiGaetano (DiGaetano) currently associated with Independent Financial Group, LLC (Independent Financial) alleging unsuitable investments, misrepresentations, fraud, negligence, breach of contract, and breach of fiduciary duty among other claims. [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
11 Mar 2019, 3:39 am
Because non-competition provisions place restrictions on the former member’s ability to secure future employment, they will only be enforced if they are not unduly burdensome. [read post]
