Search for: "Principal Financial Group"
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13 Mar 2023, 8:08 pm
This was a result of consultation with Indigenous groups, financial services representatives, government departments and other regulators. [read post]
16 Dec 2010, 2:34 pm
If you have lost money investing with William Harrison or Eddie Sawyers of the Harrison/Sawyers Financial Services group of Wachovia, your losses may be recoverable through arbitration. [read post]
20 May 2008, 10:13 pm
In our continuing series about malaprops of those who are purveyors of financial advice, Doug Quinn, a representative of AXA Advisors, LLC Settlement Planning Group in New York City who markets structured settlements, makes a statement that "money invested in the annuity (principle) is not readily available for the clients use (not liquid)".Comments:Principlea comprehensive and fundamental law, doctrine, or assumption b (1): a rule or code of conduct … [read post]
21 Sep 2017, 1:00 pm
It was actually suggested by a couple of ABD Principals when catching up at an event and sharing my background in the financial data/services sector with Thomson Reuters. [read post]
21 Sep 2017, 1:00 pm
It was actually suggested by a couple of ABD Principals when catching up at an event and sharing my background in the financial data/services sector with Thomson Reuters. [read post]
17 Apr 2019, 9:18 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
10 Jul 2021, 7:24 pm
Gene Quinn of IPWatchdog, Inc. will moderate a panel consisting of Angela Grayson, Founder and Principal Member, PRECIPICE; Mary Jutten, CEO Traklight, Inc and Juetten Law, P.C.; Efrat Kasznik, Founder and Founder & President, Foresight Valuation Group, LLC; and Renée C. [read post]
29 Apr 2015, 4:07 pm
Darin Gibson, president of the Burnham Gibson Financial Group in Irvine, California, was admonished for discrepancies between the services agreed to in a client agreement and those provided. [read post]
2 Dec 2022, 10:12 am
Woodbury Financial made 55 sales with a total principal amount of $4,638,928, earning $324,725 in commissions. [read post]
17 Mar 2023, 9:26 am
SVB Financial Group's petition lists its principal place of business as 387 Park Avenue South, Manhattan. [read post]
9 Jan 2018, 10:46 am
FINRA Sanctions Meyers Associates again for Supervisory Issues According to The Financial Industry Regulatory Authority Inc., the regulator has fined Meyers Associates $700,000 and barred its principal from serving as a principal of a firm or as a supervisor. [read post]
26 Oct 2020, 1:14 pm
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
1 Sep 2017, 9:52 am
Our first installment is with Winnie Van, Claims Counsel, SVP and Principal of ABD Insurance and Financial Services. [read post]
1 Sep 2017, 9:52 am
Our first installment is with Winnie Van, Claims Counsel, SVP and Principal of ABD Insurance and Financial Services. [read post]
1 Jan 2010, 8:19 pm
He went on a charm offensive, meeting with consumer groups, speaking with the press, and promising a total change of heart. . . . [read post]
24 Nov 2008, 12:53 pm
Some of the Top 11 names Q3 2008 may surprise you AEGON/Transamerica AIG Annuity Insurance Company (+11.1%) New York Life Insurance Company Principal Financial Group (+6%) Allstate Financial Genworth Financial Companies (-9.1%) Jackson National Life Western and Southern Sun Life Financial (+9.5%) John Hancock Life (+5.3%) … [read post]
27 Jun 2022, 2:04 pm
Silver Law Group, along with co-counsel, also filed a class action complaint directly against GWG Holdings and several of its principals to recover losses suffered by L Bond investors. [read post]
25 Feb 2021, 9:00 am
The Investment Company Institution (ICI) and Securities Industry and Financial Markets Association (SIFMA) are two financial intermediaries who’s respective "legislative tax committee letters" favor keeping the rebate. [read post]
24 Mar 2011, 8:40 am
The SEC filed civil claims against the Nutmeg Group and its principals Randall and David Goulding. [read post]
7 Sep 2013, 7:32 am
Sacks is a partner in the Financial Institutions Advisory & Financial Regulatory Group at Shearman & Sterling LLP. [read post]
