Search for: "A&B Financial Group, Inc."
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3 Oct 2023, 9:01 pm
July 5, 2023, settled) In the Matter of Andrew B. [read post]
27 Sep 2023, 12:45 pm
CFP Board Discloses Sanctions on Certified Financial Planners The Certified Financial Planner Board of Standards, Inc. [read post]
22 Sep 2023, 6:00 am
Hamilton County, Indiana– The Plaintiffs, DCG Indiana, Inc. d/b/a Dillon Construction Group, filed suit against Cardinal XLIII, LLC (Delaware); Motorsport Real Estate Ventures LLC (Delaware); Studio M Architecture and Planning, LLC (Indiana); Gradex, Inc. [read post]
20 Sep 2023, 7:20 am
According to his FINRA BrokerCheck report, Ron Filoramo was registered with the following firms during his career, among others: 04/29/2011 – 05/31/2023, MORGAN STANLEY (CRD#:149777), Fort Lauderdale, FL, B, 05/05/2006 – 05/02/2011, WELLS FARGO ADVISORS, LLC (CRD#:19616), HALLANDALE, FLB, 08/26/2002 – 05/25/2006, UBS FINANCIAL SERVICES INC. [read post]
15 Sep 2023, 6:38 am
Legal and Regulatory Developments SPOTLIGHT: The CFPB Eyes Tech Firms’ Role in Governing Tap-To-PayDigital Transactions News – September 8, 2023 The Consumer Financial Protection Bureau late Thursday released a report raising questions about the part restrictions imposed by big technology firms like Apple Inc. and Alphabet Inc’s Google subsidiary may play in hampering innovation, consumer choice, and the growth of open and decentralized banking and… [read post]
14 Sep 2023, 12:21 pm
SEC Order – Elm Partners Management LLC SEC Order – Hansen and Associates Financial Group Inc SEC Order – Linden Thomas Advisory Services LLC SEC Order – Macroclimate LLC SEC Order – McElhenny Sheffield Capital Management LLC SEC Order – MRA Advisory Group SEC Order – Trowbridge Capital Partners LLC [read post]
13 Sep 2023, 11:46 am
Elenis, Students for Fair Admissions Inc. v. [read post]
11 Sep 2023, 1:58 pm
§ 164.308(a)(1)(ii)(B); The requirement to implement sufficient procedures to regularly review records of information system activity in violation of 45 C.F.R. [read post]
8 Sep 2023, 5:54 am
Ryland Group, Inc., 849 So. 2d 326 (Fla. 2nd DCA 2003), Ryland, the owner/developer of the complex and the general contractor, sought workers’ compensation immunity under s. 440.10. [read post]
23 Aug 2023, 11:03 am
(CRD#:127724), WOODBRIDGE, NJ, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
20 Aug 2023, 9:01 pm
The decision provides an important roadmap, in light of the Supreme Court’s 2021 decision in Goldman Sachs Group, Inc. v. [read post]
9 Aug 2023, 9:28 am
According to his FINRA broker report, Lickhai Quach has been affiliated with the following firms during his career in the securities industry, including the following: 01/06/2012 – 03/10/2023, TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164), ROCKVILLE, MD, B, 04/12/2002 – 01/06/2012, WORLD GROUP SECURITIES, INC. [read post]
8 Aug 2023, 11:25 am
According to FINRA broker report, William Weisbrod and Lilia Nia were reportedly affiliated with the following firms during their careers, among others: William Weisbrod: B – 4/27/2009-2/18/2021, Purshe Kaplan Sterling Investments (CRD#:35747), Fairfield, NJ B – 04/22/2005 – 02/06/2009, Citigroup Global Markets INC. [read post]
7 Aug 2023, 12:43 pm
The firm, Commonwealth Financial Network Inc. [read post]
1 Aug 2023, 11:44 am
According to his FINRA broker report, Billy Stanage has been affiliated with the following firms during his career in the securities industry, including the following: 12/04/2019 – 03/07/2023, COMMONWEALTH FINANCIAL NETWORK (CRD#:8032), Rio Rancho, NM, B, 12/08/2016 – 11/29/2019, SECURITIES AMERICA, INC. [read post]
1 Aug 2023, 9:34 am
See Metro-Goldwyn-Mayer Studios, Inc. v. [read post]
1 Aug 2023, 8:56 am
Safeway, Inc., No. 11-3406, at *4 (C.D. [read post]
31 Jul 2023, 12:40 pm
(CRD#:7059), NEW YORK, NY B, 11/07/2016 – 09/28/2021, CITIGROUP GLOBAL MARKETS INC. [read post]
28 Jul 2023, 1:02 pm
Woods of Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC was allegedly running an extensive ponzi scheme. [read post]
26 Jul 2023, 9:01 pm
First, the Commission rejects financial materiality as the touchstone for its disclosures,[4] and fails to offer in its place a meaningful intelligible limit to its disclosure authority.[5] The release explains that Congress gave “the Commission, which regulates dynamic aspects of a market economy,” “intentionally broad” authority to require disclosures on a wide range of matters, even ones that do “not directly relate to a company’s value and… [read post]
