Search for: "Find Fine Deals LLC"
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30 Oct 2017, 7:48 am
These commissions were labeled as advertising funds, but FINRA found that Woehrman misled LPL Financial LLC when he submitted a compliance questionnaire in which he denied engaging in a referral deal. [read post]
29 Dec 2020, 8:12 am
In the settlement, Cetera neither confirmed nor denied FINRA’s findings. [read post]
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [read post]
29 Jul 2020, 12:27 pm
The court does not review questioned transactions, unless self-dealing by the manager is alleged. [read post]
23 Mar 2021, 7:23 am
FINRA Censures and Fines Dalmore Group LLC for Private Placements Rules Violations The White Law Group is investigating potential securities claims involving Dalmore Group, Inc. [read post]
2 Oct 2017, 3:33 am
In Matter of Zafar, an earlier decision written about on this blog, comparable allegations – i.e., “persistent self-dealing and dishonest conduct” – sufficed to dissolve an LLC. [read post]
2 Oct 2017, 3:33 am
In Matter of Zafar, an earlier decision written about on this blog, comparable allegations – i.e., “persistent self-dealing and dishonest conduct” – sufficed to dissolve an LLC. [read post]
17 Feb 2021, 9:28 am
At the hearing, a judge may find you’re able to pay court fines and costs, but you decided not to. [read post]
3 Sep 2016, 12:12 pm
Additional Resources: US Steel fined $170,000 after investigation finds workers exposed to asbestos, August 8, 2016, By Daisy Ruth, WTAE More Blog Entries: Grant v. [read post]
3 Sep 2016, 12:12 pm
Additional Resources: US Steel fined $170,000 after investigation finds workers exposed to asbestos, August 8, 2016, By Daisy Ruth, WTAE More Blog Entries: Grant v. [read post]
11 Mar 2024, 1:22 pm
” Rating: 5/5 The post How to Deal with Disorderly Conduct Charges in Pittsburgh appeared first on Worgul, Sarna & Ness, Criminal Defense Attorneys, LLC. [read post]
25 Mar 2024, 3:25 am
Business Doing Fine? [read post]
8 Jan 2017, 10:00 pm
This is a Guest Blog Post authored by Tim BalleringRecently the Milwaukee Journal ran a series “Landlord Games" that inaccurately portrayed LLCs as being used simply to avoiding paying property taxes and fines. [read post]
14 May 2015, 8:37 am
This type of crime comes with up to six (6) months of jail time and a $500 fine. [read post]
23 May 2016, 10:12 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
11 Sep 2012, 6:23 pm
To settle Financial Industry Regulatory Authority allegations that it committed numerous violations involving dealings between investment banking and research functions, Rodman & Renshaw LLC has agreed to pay a $315,000 fine. [read post]
29 Jul 2011, 9:27 am
Forex and commodities Ponzi schemers fined $8 millionThe CFTC announced that Ruben Gonzalez, Jose Naranjo, and their company New Golden Investment Group, LLC (“NGI”) have been ordered to pay $8 million in disgorgement, restitution, and civil monetary penalties. [read post]
15 Dec 2015, 6:30 am
©2015 Amaxx LLC. [read post]
17 Feb 2012, 7:29 am
Unless you hire an experienced lawyer to negotiate some sort of deal with the prosecuting attorney to get the drug charges reduced to a lesser charge. [read post]
27 Jun 2013, 9:58 am
Defendants: Wheels Deals Auto Sales LLC and David Schultz Type of Case: Auto Fraud Case Outcome: Clients received a full refund of all money paid to the dealer Our clients purchased a used car from Wheel Deals Auto Sales LLC in Longwood, Florida. [read post]
