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20 Sep 2018, 2:27 pm
Most recently, she was affiliated with broker-dealer Comprehensive Asset Management and Servicing, Inc. [read post]
14 Apr 2023, 11:27 am
Prospera Financial Services Inc. [read post]
17 Aug 2022, 6:56 am
The post Axiom Capital Management Inc. [read post]
17 Aug 2022, 7:03 am
The post Axiom Capital Management Inc. [read post]
2 Apr 2012, 6:32 am
In Digitech Information Systems, Inc. v. [read post]
8 Feb 2008, 1:31 am
--(BUSINESS WIRE)--Epiq Systems, Inc. [read post]
16 Nov 2023, 6:28 am
Recently, Traderfield Securities Inc. and its principal, Mario Divita, found themselves at the center of regulatory scrutiny by the Financial Industry Regulatory Authority (FINRA). [read post]
24 Jun 2015, 2:40 pm
On June 22, 2015, the Financial Industry Regulatory Authority, Inc. [read post]
16 Aug 2022, 9:00 am
Less than a week after announcing its acquisition of BigSquare, a provider of financial and business intelligence and analytics for law firms, legal technology company Litera today announced another — of Micron Systems Inc., a developer of talent management software for the legal and accounting professions. [read post]
7 Jul 2011, 9:33 pm
Bennett of the EDM Council, Inc. made a presentation entitled OMG FDTF / EDM Council Financial Industry Business Ontology: Background, on 23 June 2011, at a meeting of the Object Management Group (OMG) Ontology PSIG. [read post]
10 Jun 2013, 6:23 am
Editor's Note: This post comes to us from Karen Petrou, co-founder and managing partner of Federal Financial Analytics, Inc., and is based on a presentation of a paper written by Ms. [read post]
29 Mar 2021, 8:17 am
Bonitas Research recently published a new report on AgEagle Aerial Systems, Inc. [read post]
1 Mar 2017, 7:19 am
Google Inc., 841 F.3d 1376 (Fed. [read post]
25 Jun 2015, 2:41 pm
On June 5, 2015, E1 Asset Management, 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]
6 Jan 2018, 12:26 pm
Claimants alleged that the primary source of most of the Claimants investment in BRS came from their accounts managed by Steele through her advisory firm – Steele Financial Inc. [read post]
23 Sep 2018, 8:23 am
The law offices of Gana Weinstein LLP have filed complaints before The Financial Industry Regulatory Authority (FINRA) on behalf of multiple clients against brokerage firm Comprehensive Asset Management and Servicing, Inc. [read post]
1 Mar 2017, 7:21 am
The Board denied institution of covered business method review of a patent directed to a system for delivery of targeted advertisements, finding the patent was not directed to a financial product or service. [read post]
1 Jun 2021, 1:29 pm
Riley Securities, Inc. were co-managers for the offering. [read post]
10 May 2023, 9:59 am
Financial institutions like Centaurus Financial, Inc. must properly supervise financial advisors and customer accounts. [read post]
