Search for: "FIRST SENIOR FINANCIAL GROUP, LLC"
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20 Apr 2017, 12:09 pm
We work with seniors who are concerned with the cost of long-term care. [read post]
3 Jan 2020, 9:14 am
She founded the Attorney Talent Strategy Group following a robust career as a practicing attorney and senior talent development professional. [read post]
27 Aug 2023, 7:49 pm
Liddle also allegedly made material misrepresentations about the use of client funds and the risk of client investments to at least 13 advisory clients, many of whom are senior citizens. [read post]
3 Jun 2016, 7:32 am
Fraud charges against three brokerage subsidiaries and two former employees of global trading services provider ConvergEx Group LLC and the former CEOs of two of the brokerage subsidiaries – ConvergEx Global Markets and G-Trade Services LLC, in a scheme causing many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders. [read post]
28 Sep 2016, 9:36 am
[xii]What may be the single worst case of elder victimization presented in NASAA’s annual report was perpetrated by Sean Meadows, owner of a financial planning and asset management firm, Meadows Financial Group LLC (MFG). [read post]
21 Nov 2023, 2:26 pm
Five years later, the company unraveled after it stopped paying investors in 2018, failed to file proper financial audit forms, and the SEC charged the company’s senior executives with fraud. [read post]
4 Jun 2015, 11:30 am
Stone was Senior Managing Director in charge of the Mortgage, Asset- Backed and Real Estate Securities Group at Daiwa Securities America. [read post]
4 Jun 2015, 11:30 am
Stone was Senior Managing Director in charge of the Mortgage, Asset- Backed and Real Estate Securities Group at Daiwa Securities America. [read post]
25 Aug 2023, 5:58 pm
., Chairman & Chief Executive of The Jasco Group, LLC; Director and Chair of the Nominating and Governance Committee, AIGMichelle Edkins, Managing Director, Blackrock Investment StewardshipPeggy Foran, Chief Governance Officer, Senior Vice President and Corporate Secretary, Prudential Financial, Inc.Lawrence A. [read post]
11 Jul 2016, 11:46 am
Featuring an unparalleled lineup of speakers from these companies and organizations: Discover Capital One Quicken Loans SoFi Affirm, Inc PNC Bank MERSCORP Discover BMO Financial Group AmeriFirst Financial SunTrust Bank Capital One TransUnion, LLC Skopos Financial Caliber Home Loans Federal Trade Commission Office of the Illinois Attorney General U.S. [read post]
21 Nov 2011, 2:26 pm
Also charged with securities fraud bu the SEC (allegations against the parties vary, but include: violation of federal securities’ laws anti-fraud provisions, offering registration requirements, and broker-dealer registration requirements): • Gibraltar Asset Management Group LLC • Garfield Taylor Inc. [read post]
1 Apr 2022, 12:16 pm
Year Q122 M&A+I Data Points Activity By Month (Q1 2022) January – 2 February – 2 March – 3 Activity By Month (Q1 2021) January – 3 February – 3 March – 4 Activity By Month (Q1 2020) January – 6 February – 2 March – 2 M&A+I Events (Running Listing: November 2001 – Today) Index: eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 15-March-22Fireman & CompanyEpiq… [read post]
25 Apr 2015, 4:22 am
Prior to joining BNY Mellon, he held a number of Senior Advisory roles, including Director in the Client and Partner Group at Kohlberg Kravis Roberts & Co. [read post]
7 Jan 2019, 8:10 am
FINRA Broker Disciplinary Action Report December 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
12 Apr 2023, 11:39 am
The CEO and mastermind of Future Income Payments LLC (FIP), formerly known as Pensions, Annuities, and Settlements LLC received a 10 year sentence in August 2022 after pleading guilty to fraud conspiracy. [read post]
25 Feb 2010, 6:31 am
Reinhardt operates three businesses: First Fidelity Financial of Richmond LLC, Commonwealth Assurity LLC and Capital Investor Group. [read post]
29 Sep 2015, 2:30 pm
Gathright, chief financial officer Michael S. [read post]
17 Nov 2016, 4:38 pm
In Principle Solutions Group, LLC v. [read post]
21 Jun 2013, 3:30 am
Snyder Serves as executive vice chairman of North American Global Financial Advisory and co-head of the debt and restructuring group at Rothschild, Inc., a leading international investment banking and financial advisory firm where he is also Senior Managing Director. [read post]
28 Mar 2011, 7:02 pm
Trustee together are asking the bankruptcy judge in New York to appoint a Chapter 11 trustee for West End Financial Advisors LLC, the adviser for dozens of funds. [read post]
