Search for: "Chicago Financial Services, Inc."
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28 Dec 2010, 8:23 am
Yet the transactions reflect how alternatives to the traditional law firm are becoming increasingly attractive to buyers of sophisticated legal services in the post-financial-meltdown era. ... [read post]
17 May 2022, 6:18 am
The claim further alleges that Concord Investment Services unsuitably invested its clients in the following high-risk alternative investments, among others: VII Peaks Co-Optivist Income BDC II, Inc. [read post]
20 Mar 2012, 6:56 am
FINRA recently announced that it has fined Citi International Financial Services LLC, a subsidiary of Citigroup, Inc., $600,000 and ordered more than $648,000 in restitution and interest to more than 3,600 customers for charging excessive markups and markdowns on corporate and agency bond transactions, and for related supervisory violations. [read post]
28 May 2022, 4:09 am
SEC fines RiverSource Distributors Inc. $5 Million for Improper Variable Annuity Exchanges According to The Securities and Exchange Commission this week, the regulator has reportedly fined RiverSource Distributors Inc., a subsidiary of Ameriprise Financial Services LLC, $5 million for allegedly improperly switching Ameriprise customers’ variable annuities in order to generate commissions. [read post]
23 Aug 2019, 12:50 pm
Another FINRA Award involving UBS Puerto Rico Bonds According to award posted this week, a group of investors who bought Puerto Rico bonds and closed-end funds reportedly won a $4.4 million arbitration claim against UBS Financial Services Inc. in Puerto Rico. [read post]
28 Jun 2012, 6:40 am
Kramer Levin Naftalis & Frankel received a Turnaround Atlas Award Tuesday night for the firm’s work as unsecured creditors committee counsel for Capmark Financial Group Inc. [read post]
26 Jan 2012, 8:33 am
Wunderlich Securities, Inc. [read post]
10 Mar 2015, 9:12 am
Interactive Financial Advisors, Inc., Case No. 11 C 2223 (N.D. [read post]
16 Dec 2021, 10:30 am
Carey Inc. [read post]
8 Feb 2012, 1:51 pm
Inc. 718.2 500+ McLean, VA 24 Trustcore Financial Services Inc. 714.8 500+ Brentwood, TN 25 Creative Financial Group Ltd. 639 500+ Atlanta, GA 26 John G. [read post]
16 Apr 2020, 11:54 am
Eco–Stim Energy Solutions, Inc. is an oilfield services company, which reportedly engages in the provision of well stimulation, coiled tubing, and field management services to the upstream oil and gas industry. [read post]
13 Dec 2019, 1:58 pm
UBS Financial Services Inc.). [read post]
28 Aug 2020, 12:02 pm
Mark Boucher, Strategic Wealth Advisor Group Services Inc., Carlsbad, CA SEC Reportedly Charges Mark Boucher with ongoing fraud between 2010 and 2020 According to an SEC complaint this week, the Securities and Exchange Commission has charged financial advisor Mark J. [read post]
13 Apr 2017, 11:05 am
Certified Financial Planner Board of Standards, Inc. [read post]
17 Sep 2018, 7:56 am
According to the Securities and Exchange Commission on Monday, the regulator has charged Tamara Steele and her advisory firm, Steele Financial Inc. with selling approximately $13 million of high-risk securities to more than 120 advisory clients. [read post]
14 Sep 2016, 9:13 am
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Ameriprise Financial Services, Inc. $850,000 for failing to detect the conversion of more than $370,000 from five customer brokerage accounts by one of its registered representatives. [read post]
13 Sep 2019, 1:01 pm
UBS Lawsuit reportedly involves Bill Hightower According to the Financial Industry Regulatory Authority (FINRA), a FINRA panel ordered UBS Financial Services Inc. to pay $555,000 to an elderly Texas widow for investment losses in her individual retirement accounts due to allegedly unsuitable investments. [read post]
8 Apr 2014, 3:45 pm
Financial Services Inc., “one of the biggest seller of DBSI TICs,” recently settled a lawsuit with the DBSI Private Action Trust. [read post]
28 Jul 2022, 9:51 am
Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. [read post]
11 Jun 2018, 9:49 am
According to the Financial Industry Regulatory Authority (FINRA) on June 8, the regulator has sanctioned an employee of CSSC Brokerage Services for failure to supervise. [read post]
