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27 Nov 2023, 8:22 am
FINRA BrokerCheck Report – Christopher Kennedy According to this FINRA BrokerCheck report, Christopher Kennedy was affiliated with the following firms during his career, among others: 12/02/2019 – 09/27/2021, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
20 Nov 2023, 4:21 am
Likewise, a books and records demand may implicate not only the records of the company itself, but also the records of related companies and affiliates. [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]
15 Nov 2023, 6:26 am
The Securities and Exchange Commission filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
14 Nov 2023, 9:01 pm
The Securities and Exchange Commission announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 original, or “stand-alone,” enforcement actions, an 8 percent increase over the prior fiscal year. [read post]
13 Nov 2023, 9:05 pm
Assessing Potential Risks The Analytic Framework retains the eight proposed “vulnerabilities that most commonly contribute” to financial stability risks.[24]Relative to the proposal, the Analytic Framework includes additional examples of the types of “quantitative metrics” the Council may consider under certain vulnerabilities: Vulnerability Sample Metrics – Proposal Additional Metrics – Final Leverage… [read post]
13 Nov 2023, 9:27 am
Apple, Inc. [read post]
10 Nov 2023, 7:44 am
FINRA BrokerCheck Report – Robert Marquez According to this FINRA BrokerCheck report, Robert Marquez was affiliated with the following firms during his career, among others: 01/04/2017 – 11/06/2023, INVESTMENT NETWORK, INC. [read post]
10 Nov 2023, 7:01 am
Previous employers include Ameriprise Financial Services, Inc. [read post]
8 Nov 2023, 9:05 pm
Retirement Plans (2023). [3] Brian Croce, House Committee Advances Bill Allowing 403(b) Plans to Offer CITs, Pensions & Invs., May 25, 2023, https://www.pionline.com/defined-contribution/house-committee-advances-bill-allowing-403b-plans-offer-cits. [4] Mitchell, supra note 2, at 25. [5] Management companies such as Fidelity, Vanguard, and State Street have all started to offer CITs through affiliated trust companies or banks. [6] Gensler, supra note 1. [7] Jasmin Sethi, Morningstar… [read post]
8 Nov 2023, 2:00 pm
Kevin Hobbs (Kevin Andrew Hobbs CRD# 4267482) is a previously registered broker whose only employer was PFS Investments Inc. [read post]
8 Nov 2023, 1:33 pm
Office of Federal Acknowledgment (Unreasonable-Delay Challenge; Federal Recognition) In re: Eagle Bear Inc. [read post]
6 Nov 2023, 11:44 am
Kochava Inc., No. 22-00377 (D. [read post]
6 Nov 2023, 11:00 am
According to this FINRA BrokerCheck report, Jason Jodway was affiliated with the following firms during his career, among others: 11/08/2019 – 12/13/2019, ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272), WATERFORD, MI, B, 09/14/2016 – 12/01/2017, SECURIAN FINANCIAL SERVICES, INC. [read post]
4 Nov 2023, 5:25 pm
HMSHost Corporation/Gallagher Bassett Services, Inc., v. [read post]
3 Nov 2023, 11:39 am
is Associate Counsel of NFS Leasing, Inc., where he is responsible for managing NFS leasing’s litigation. [read post]
2 Nov 2023, 6:55 am
(CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. [read post]
1 Nov 2023, 12:38 pm
FINRA BrokerCheck Report – Rodney Ferruso According to this FINRA BrokerCheck report, Rodney Ferruso was affiliated with the following firms during his career, among others:11/02/2018 – 08/30/2022, ROYAL ALLIANCE ASSOCIATES, INC. [read post]
31 Oct 2023, 9:05 pm
A $4.69 billion verdict awarded in a 2020 case accelerated this trend.[4] The principal Johnson & Johnson subsidiary producing baby powder, Johnson & Johnson Consumer Inc. [read post]
30 Oct 2023, 9:11 am
Factual Background In this matter, the employer Quickway Transportation, Inc. [read post]
