Search for: "Chicago Financial Services, Inc."
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10 Aug 2017, 9:26 am
FINRA Sanctions MSI Financial Services for Customer Overcharges According to FINRA, on May 12, 2017, MSI Financial Services Inc. [read post]
4 Mar 2013, 7:42 am
Naveja have published an article in the Banking & Financial Services Policy Report entitled “A Curious Dichotomy: Fair Lending Litigation and Enforcement Actions Following Wal-Mart Stores, Inc. v. [read post]
13 Dec 2018, 12:04 pm
The White Law Group announces the filing of a FINRA Arbitration claim against Capital Financial Services, Inc. [read post]
16 Apr 2018, 5:57 am
Chicago Investment Advisor Sentenced to More Than 12 Years in Federal Prison for Misappropriating $5.2 Million in Client Funds (DOJ Press Release)https://www.justice.gov/usao-ndil/pr/chicago-investment-advisor-sentenced-more-12-years-federal-prison-misappropriating-52Investment advisor Daniel Glick owned and operated Financial Management Strategies Inc., Glick Accounting Services Inc., and Glick & Associates Ltd., through which he purportedly… [read post]
6 Mar 2018, 5:52 am
According to the Securities and Exchange Commission, on February 28th,the regulator announced that Ameriprise Financial Services Inc. has agreed to settle charges for recommending and selling higher-fee mutual fund shares to retail retirement account customers and for failing to provide sales charge waivers. [read post]
27 Jan 2012, 6:55 am
Capital Financial Services, Inc. [read post]
11 Dec 2015, 2:23 pm
The Financial Industry Regulatory Authority (FINRA) has accused Comprehensive Asset Management and Servicing Inc (CAMS) of failing to meet its supervisory obligations in a numerous areas, including variable annuities. [read post]
28 Nov 2011, 1:16 pm
Reuters is reporting that a securities arbitration panel ruled that “Securian Financial Services Inc must pay an investor $2.4 million for failed investments in real estate limited partnerships…” The investor, Mr. [read post]
11 Jul 2018, 5:49 am
From 2011 to 2017, it was revealed that Glick misappropriated funds through the three financial services and accounting firms he owned in Orland Park, Illinois: Glick & Associates Ltd., Glick Accounting Services Inc., and Financial Management Strategies, Inc. [read post]
10 Jul 2020, 1:46 pm
At times relevant to perpetrating his criminal scheme, Kiffmeyer was a registered representative and financial advisor for FINRA broker/dealer Brokers International Financial Services, LLC. [read post]
28 Dec 2020, 8:14 am
The SEC Sanctions Voya Financial Advisors Inc. for Alleged Breach of Fiduciary Duty Voya Financial Advisors, Inc., based in Des Moines, Iowa, is a dually registered investment adviser and broker-dealer with $15.9 billion under management. [read post]
26 May 2020, 9:19 am
The post Hornbeck Offshore Services Inc. [read post]
1 Aug 2017, 8:13 am
UBS Financial Services Inc. [read post]
13 Feb 2012, 3:14 pm
According to a recent study, it appears that many financial professionals “tend to overstate their qualifications and services. [read post]
26 Sep 2017, 6:42 am
WFG Investments According to court filings on Monday, Williams Financial Group, Inc. [read post]
19 Jan 2021, 9:22 am
The firm provides financial brokerage services and specializes in buying and selling securities such as stocks, bonds, and mutual funds, according to Bloomberg. [read post]
12 Dec 2020, 7:45 am
Magill was a dually registered and licensed financial advisor with Foreside Fund Services and as a Registered Investment Adviser with WBI Investments, Inc. out of Boca Raton, Florida. [read post]
19 Dec 2016, 7:56 am
The Financial Industry Regulatory Authority Inc. on Thursday hit Allstate Financial Services with $1 million dollar fine for a breakdown of the firm’s failure to supervise information. [read post]
15 Aug 2018, 12:24 pm
SEC Charges Ameriprise Financial with Failure to Safeguard Client Assets According to a press announcement today, Ameriprise Financial Services Inc. will pay $4.5 million to settle SEC charges that it failed to safeguard retail investor assets from theft by its representatives. [read post]
14 Mar 2024, 6:19 pm
The settlement, disclosed on the state’s Bureau of Securities Regulation website, reportedly imposes hefty penalties on Kulch and his former broker-dealer, Next Financial Group Inc., totaling over $1 million. [read post]
