Search for: "NJ BUREAU OF SECURITIES"
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4 Apr 2019, 1:36 pm
The New Jersey Bureau of Securities investigation of the broker dealer Interactive arose from the fraudulent trading activity conducted by a former investment advisor Peter Zuck of Middletown, NJ, through his hedge fund, Osiris Fund LP of Jersey City, NJ. [read post]
11 May 2019, 10:58 am
The New Jersey Bureau of Securities recently entered into a Consent Order with LPL Financial. [read post]
27 May 2021, 11:42 am
The post Barred Broker John Cahill Sanctioned by New Jersey Bureau of Securities appeared first on . [read post]
27 May 2021, 11:42 am
The post Barred Broker John Cahill Sanctioned by New Jersey Bureau of Securities appeared first on . [read post]
8 Feb 2018, 7:21 am
NJ Bureau Revokes Registration of Broker Michael A. [read post]
21 Aug 2017, 1:30 pm
Scotrun, PA ex-broker barred by FINRA, NJ Bureau of Securities and PA Bureau of Securities According to FINRA, Anthony Diaz (Scotrun, PA CRD 4131948) entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) on May 27, 2015. [read post]
21 Dec 2018, 4:50 am
The fraud conviction comes three years after Falci entered into a consent order with the New Jersey Bureau of Securities in which he had to pay over $6.7M in restitution. [read post]
28 Sep 2011, 9:47 am
Judge Krell's referral was directed to Christine Hoffman, Chief of the Corruption Bureau of the Office of the Attorney General. [read post]
1 Aug 2013, 2:23 pm
According to the New Jersey Bureau of Securities, Morgan Stanley agreed to pay $65,000 in civil penalties, $25,000 for reimbursement of the Bureau’s investigative costs and $10,000 to fund the Bureau’s investor education program. [read post]
18 Oct 2016, 3:10 am
Information available includes payment information, services available, tax offset, visitation, emancipation, custody, and credit bureau reporting. [read post]
24 Jan 2019, 1:55 pm
Ron Jason Ison Allegedly Engaged in Potentially Unauthorized & Unsuitable Trading; Ison’s Registration Revoked by NJ Bureau of Securities Ron Ison allegedly engaged in potentially unauthorized and unsuitable trading, according to a Final Regulatory Action filed on Ison’s FINRA BrokeCheck Report under review by investor rights attorney Alan Rosca. [read post]
5 Oct 2021, 8:11 am
The NJ Compensation Rating and Inspection Bureau [NJCRIB] submitted a filing to the Department of Banking and Insurance seeking a 4.9% decrease in the overall premium and rate level effective January 1, 2022. [read post]
28 Oct 2011, 6:30 am
The Federal Bureau of Investigation (FBI) on October 26, 2011 released the following: “NEWARK, NJ— A man who allegedly bought securities without being able to pay for them and claimed to run a phony hedge fund was arrested this morning at his Boca Raton, Fla., office by FBI agents after being charged for allegedly orchestrating the securities and investment fraud schemes, New Jersey U.S. [read post]
12 Aug 2013, 5:40 am
has agreed to pay $100,000 to the New Jersey Bureau of Securities in a consent order on July 29, after the Bureau found the company was in violation of state securities laws and regulations in its sale of non-traditional exchange-traded funds to investors.Non-Traditional ETFs are leveraged funds which are designed to deliver multiples oft the performance (usually 2x or 3x) of the index or benchmark they track. [read post]
14 Oct 2021, 5:25 am
The Social Security Act ties the annual COLA to the increase in the Consumer Price Index as determined by the Department of Labor’s Bureau of Labor Statistics. [read post]
7 Nov 2019, 7:12 am
The New Jersey Bureau of Securities has revoked the registration license of First Standard Financial Company, a broker-dealer based in Red Bank, NJ. [read post]
26 Nov 2019, 11:51 am
According to his FINRA BrokerCheck report, Sparacino was reportedly affiliated with First Standard Financial Company in Red Bank, NJ from 2014 until 2019 when he was purportedly dismissed after the New Jersey Bureau of Securities allegedly revoked his license. [read post]
9 Jan 2019, 10:25 am
Kip Bateman’s bill to expand security funding for nonprofits, including houses of worship to keep NJ families safe from violence, and threats of bias and intimidation. [read post]
24 Nov 2010, 5:48 am
The Bureau of Labor Statistics reports that 88 people died as a result of scaffolding accidents in 2007. [read post]
6 Oct 2018, 1:00 am
This week on Make It Last, Victor gives details on why a portfolio is not a plan, a newly proposed NJ fiduciary rule, as well as a glimpse as to why NJ has been ranked as the worst tax structure in the nation. [read post]
