Search for: "Executive Security Services, Inc."
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12 Nov 2016, 6:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A Boca Raton, Florida stockbroker named Gerald Cocuzzo who worked at Newbridge Securities Corporation, has pled guilty to participating in a $131 million securities fraud and could face up to 20 years in prison.Cocuzzo, 38, was charged with defrauding investors in a publicly traded company called ForceField Energy, Inc. [read post]
6 Dec 2021, 9:25 am
The Securities and Exchange Commission today charged American Renal Associates Holdings, Inc. [read post]
24 May 2023, 5:16 pm
Like many service providers to medical practices, health plans or other HIPAA covered entities, MedEvolve was subject to HIPAA’s Privacy, Security, Breach Notification and business associate agreement requirements due to its access, possession, use, protection, and disclosure of PHI in the course of servicing its covered entity customers. [read post]
14 Sep 2009, 12:49 am
In a complaint filed on September 9 in DC District Court, James Gordon, a former executive at the security firm ArmorGroup North America, has sued the company, its parent corporation, and Wackenhut Services, Inc. [read post]
17 Sep 2007, 11:51 pm
Legacy Financial Services Inc., an independent broker-dealer, has closed shop. [read post]
5 Aug 2019, 7:56 am
About Navigant Navigant Consulting, Inc. [read post]
23 May 2019, 2:00 pm
His other former employers include Morgan Stanley (CRD#: 149777), UBS Financial Services Inc. [read post]
4 Jan 2012, 2:41 pm
The Securities and Exchange Commission has filed Texas securities fraud charges against Life Partners Holdings Inc. and three of the company’s senior executives over their alleged involvement in a life settlement scam. [read post]
6 Jan 2020, 2:12 pm
The post Linda Zara Of Summit Brokerage Services Suspended And Fined For Entering Into Improper Loan Arrangement With An Elderly Client appeared first on Securities Arbitration Lawyers Blog. [read post]
1 May 2012, 2:34 pm
The SEC charged UBS Financial Services Inc. of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds. [read post]
10 Feb 2017, 9:51 am
Rafal, the former president and chief executive of Essex Financial Services, Inc., also will pay the SEC $577,297 in penalties.According to the SEC, a Connecticut attorney referred Mr. [read post]
1 Jun 2013, 4:00 am
Recognized as the premier Northeast conference for cyber security education, the event is co-hosted by the NYS Office of Information Technology Services’ Enterprise Information Security Office, the New York State Forum, Inc., and the University at Albany's School of Business and College of Computing and Information. [read post]
5 Sep 2014, 6:20 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm optionsXpress, Inc. [read post]
21 Dec 2018, 4:50 am
Former fund administrator Apex Fund Services Inc. had sought to force arbitration or get the complaint tossed out, but a NJ state judge refused to dismiss the lawsuit. [read post]
1 Aug 2017, 8:13 am
UBS Financial Services Inc. [read post]
4 Mar 2011, 7:04 am
(In re Cyphermint, Inc.) [read post]
6 Oct 2009, 7:33 am
Access the 15-page EO (click here).Waste Information & Management Services, Inc. [read post]
28 Sep 2018, 3:00 am
Citigroup Must Pay Over $12M Over Dark Pool Allegations To settle Securities and Exchange Commission that it misled users of a dark pool run by an affiliate , Citigroup Global Markets Inc. [read post]
30 Jan 2008, 11:10 pm
"eDiscovery is a high pressure, potentially error prone process, involving corporate Legal, corporate IT, outside counsel and an eDiscovery service provider, in a multi step project across multiple locations involving potentially hundreds of process change requests during increasingly tight timelines now driven even faster by new legislation and court rulings," said Dave McCann, chief executive officer of EED, Inc. [read post]
20 Jun 2023, 11:42 am
In the FTC’s first case focused on the privacy and security of genetic information, the FTC alleges that San Francisco-based Vitagene, Inc. [read post]
