Search for: "JPS Insurance Agency, LLC."
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30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities,… [read post]
19 Apr 2019, 5:33 am
According to FINRA Disciplinary actions for March 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities Austin, Aaron LPL Financial LLC M & T Securities, Inc Conner, Youn Das, Anukul… [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company … [read post]
30 Jan 2019, 1:06 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Balas, Tami SCF Securities, Inc Klopp Agency Bustamante, Ricardo JP Morgan Securities LLC Bustamante Family Legacy,… [read post]
25 Jan 2024, 2:51 pm
Most recently, in United Talent Agency, LLC v. [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones … [read post]
22 Jun 2011, 6:07 pm
Here is a pdf listing collection agencies in South Carolina. [read post]
22 Jun 2011, 6:07 pm
Here is a pdf listing collection agencies in South Carolina. [read post]
14 Feb 2012, 1:03 pm
The agreement was reached with federal agencies and 49 states (not Oklahoma) and is considered the largest federal-state settlement ever. [read post]
23 Dec 2011, 8:57 am
As part of the multistate settlement, GE Funding has agreed to pay $30 million in restitution to affected state agencies, municipalities, school districts and not-for-profit entities nationwide that entered into guaranteed investment contracts with GE Funding and two of its affiliates – Trinity Funding Company, LLC and Trinity Plus Funding Company, LLC – between 1999 and 2005. [read post]
17 Nov 2022, 1:14 pm
By the same token, the SEC’s action during the fiscal year against Allianz Global Investors US LLC, in which the agency alleged a fraudulent scheme to conceal risks involved in a complex trading strategy, resulted in an SEC order for Allianz to pay a total of $1.024 billion (of which $675 million represented a civil penalty). [read post]
19 Feb 2016, 11:57 am
Agency test that would always lead to jurisdiction improper.Cirkles v. [read post]
12 Aug 2008, 2:00 pm
Kane Agency, Inc. [read post]
7 Jan 2022, 2:20 pm
JP. [read post]
7 Jan 2022, 2:20 pm
JP. [read post]
6 Aug 2019, 3:09 pm
In the JP Morgan data breach, the cyber-attack infiltrated J.P. [read post]
9 Aug 2019, 3:00 am
National/Federal Campaigns Say They’ll Match Political Contributions. [read post]
