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29 Nov 2023, 2:23 pm
(CRD#:5685), Alpena, MI, B, 03/25/2017 – 02/09/2018, MML INVESTORS SERVICES, LLC (CRD#:10409), ALPENA, MI B, 10/08/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. [read post]
29 Nov 2023, 8:59 am
For a free consultation with a securities attorney, please call (888) 637-5510. [read post]
28 Nov 2023, 10:19 am
For a free consultation with a securities attorney, please call (888) 637-5510.The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
27 Nov 2023, 8:22 am
(CRD#:39262), Woodland Hills, CA, B, 07/10/2019 – 12/23/2019, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), NEW YORK, NY B, 08/21/2017 – 07/10/2019, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
21 Nov 2023, 3:15 pm
Furthermore, since the Employee Benefit Security Administration now views HIPAA compliance and other prudent steps to protect PHI and other sensitive health information as part of fiduciaries and plan administrator’s ERISA compliance obligations, the management of these and other HIPAA obligations also is critical to ERISA compliance. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that… [read post]
18 Nov 2023, 1:50 pm
Call us at 866-465-5395 or schedule a virtual consultation to secure our services. [read post]
15 Nov 2023, 8:55 am
FINRA BrokerCheck Report – John Fagan According to this FINRA BrokerCheck report, John Fagan was affiliated with the following firms during his career, among others: B, 11/11/2011 – 12/31/2021, RAYMOND JAMES & ASSOCIATES, INC. [read post]
10 Nov 2023, 1:35 pm
The threshold phaseout amounts and the completed phaseout amounts shown in the table below for married taxpayers filing a joint return include the increase provided in § 32(b)(2)(B), as adjusted for inflation for taxable years beginning in 2024. [read post]
10 Nov 2023, 7:44 am
(CRD#:127724), CANTON, OH, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
9 Nov 2023, 1:48 pm
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
9 Nov 2023, 1:07 pm
The threshold phaseout amounts and the completed phaseout amounts shown in the table below for married taxpayers filing a joint return include the increase provided in § 32(b)(2)(B), as adjusted for inflation for taxable years beginning in 2024. [read post]
7 Nov 2023, 11:13 am
In Systems Plus, Inc. and Phoenix Data Security, Inc., GAO sustained protests filed by 91 offerors challenging their elimination from the competition, because the solicitation required the agency to validate each offeror’s self-scores and “the lack of documentation, combined with misleading and contradictory explanations regarding how the validation occurred, precludes us from finding that the phase 1 evaluation was reasonable. [read post]
6 Nov 2023, 11:00 am
If you are concerned about your investments with financial advisor Jason Jodway, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation. [read post]
5 Nov 2023, 3:10 pm
§ 164.312(b). [read post]
1 Nov 2023, 12:38 pm
(CRD#:23131), MORGANTOWN, WV, B, 08/27/1986 – 11/02/2018, SIGNATOR INVESTORS, INC. [read post]
1 Nov 2023, 8:28 am
For a free consultation with a securities attorney, please call (888) 637-5510. [read post]
24 Oct 2023, 9:01 pm
In many ways, it’s each of you – the compliance professionals, consultants, attorneys, accountants, and others in this space – that serve as the first lines of defense against misconduct.[4] You are the ones that can work with firms to implement effective policies and procedures to ensure that those firms comply with their legal obligations on the front end, so that, instead of reading about compliance failures, the public understands that organizations like yours are… [read post]
3 Oct 2023, 9:01 pm
July 5, 2023, settled) In the Matter of Andrew B. [read post]
30 Sep 2023, 7:11 am
” GK Development, Inc. v. [read post]
