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14 Oct 2015, 2:09 pm
On October 13, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Santander Securities LLC (“Santander Securities”) has to pay approximately $6.4 million in fines for supervisory related violations surrounding the sale of Puerto Rican Municipal Bonds (“PRMBs”) to Puerto Rican customers. [read post]
25 Jul 2008, 2:47 pm
The New York Attorney General filed a civil complaint yesterday against UBS Securities LLC and UBS Financial Services, Inc. alleging that UBS "committed a multi-billion dollar consumer and securities fraud on the investing public by falsely selling securities facing mounting liquidity risk as cash equivalents. [read post]
28 Nov 2011, 1:16 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
7 Jul 2023, 1:24 pm
The White Law Group reviews the regulatory history of Wells Fargo Clearing Services, LLC. [read post]
27 May 2020, 7:48 am
He had previously been registered with Northwestern Mutual Investment Services, LLC (CRD# 2881). [read post]
4 May 2012, 5:57 pm
Woodbury Financial Services, Inc. [read post]
5 Feb 2021, 2:56 pm
Lisa Brumm was registered with Woodbury Financial Services, Inc. in Portland, Oregon, from April 2017 until December 2020. [read post]
5 May 2020, 12:08 pm
Previous employment included Suntrust Investment Services, Inc. from December 2012 to June 2015 and Fifth Third Securities, Inc. from May 2009 to December 2012. [read post]
18 Aug 2021, 6:43 am
Previous employers include Cetera Investment Services LLC (CRD#:15340), also of Tulsa, Bok Financial Securities, Inc. [read post]
3 Oct 2010, 5:00 am
Partners, LLC v. [read post]
27 Jan 2012, 6:48 am
Woodbury Financial Services, Inc. [read post]
25 Aug 2023, 6:05 am
The Securities and Exchange Commission today charged Wells Fargo Clearing Services LLC and Wells Fargo Advisors Financial Network LLC (collectively, Wells Fargo) for overcharging more than 10,900 investment advisory accounts more than $26.8 million in…Read the Full Press Release Have a securities law question? [read post]
17 Dec 2018, 8:18 am
Continuing from last week’s post, here is the second half of our “Top 10 List” of key issues U.S. financial institutions, non-banks providing financial services, and financial technology (fintech) entities should plan for and watch throughout 2019. [read post]
19 Oct 2023, 12:28 pm
The post SEC Order Asset Freeze For Nanban Ventures, LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
13 Sep 2023, 12:39 pm
Getting licensed Depending on your location, profession, and business type, you may need to secure additional licenses and/or permits. [read post]
7 Mar 2013, 8:43 am
KMS Financial Services, Inc. [read post]
26 Jul 2021, 1:35 pm
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
11 May 2008, 7:38 pm
UBS Financial Services Inc. and UBS Securities LLC, both units of UBS AG, have agreed to pay 19 Massachusetts public agencies and local governments over $35 million for their losses in the auction-rate securities market. [read post]
27 Apr 2010, 5:36 am
The Second Circuit, in Greenwich Financial Services Distressed Mortgage Fund 3 LLC v. [read post]
19 Nov 2018, 9:50 am
According to the Florida Department of Financial Services on October 2, 2017, a consent order was filed involving former financial advisor Christopher Laws. [read post]
