Search for: "Principal Financial Services, Inc."
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28 Oct 2009, 11:25 pm
The four investment firms, Citigroup, AK Capital, National Financial Services, and Tradestation, agreed to the censures and fines but did not admit to or deny wrongdoing. [read post]
11 Sep 2017, 9:18 am
LUCINDA VINE; KRISTY POND, Plaintiffs-Appellees,v.PLS FINANCIAL SERVICES, INCORPORATED; PLS LOAN STORE OF TEXAS, INCORPORATED, Defendants-Appellants.No. 16-50847.United States Court of Appeals, Fifth Circuit.Filed May 19, 2017.Appeals from the United States District Court for the Western District of Texas, USDC No. 3:16-CV-31.Before: BARKSDALE, GRAVES, and HIGGINSON, Circuit Judges.PER CURIAM.[*]Appellants PLS Financial Services, Inc., and PLS Loan… [read post]
6 Nov 2012, 1:27 am
Principal Management Corporation & Principal Funds Distributor, Inc., S.D. [read post]
20 Oct 2011, 9:39 am
[JURIST] Citigroup Inc. [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]
14 Mar 2011, 5:20 am
Principal Life Insurance Company, No. 09-3658 (8th Cir. 2011), the plaintiff filed suit under ERISA against defendants, Principal Life Insurance Company and Principal Financial Group, Inc. [read post]
27 Nov 2021, 2:20 pm
Brittex Financial, Inc. v. [read post]
23 Jun 2008, 11:00 am
Granting a motion for summary judgment, the Board not surprisingly found the term BRIDGELOAN.COM to be generic for "financial services, namely commercial lending services," and ordered Respondent's registration cancelled. [read post]
5 Feb 2020, 1:10 pm
On February 3, 2020, the FTC announced a $350,000 settlement with Shop Tutors Inc., d/b/a LendEDU, a website that ranks and rates consumer financial products such as student and personal loans. [read post]
13 Sep 2017, 8:09 am
Potomac Asset Management Company, Inc. provides investment advisory and management services to two private equity fund clients under limited partnership agreements and private placement memoranda The LPAs provided terms for calculation and payment of capital contributions and the payment of management fees paid to Potomac. [read post]
16 Jan 2018, 10:45 am
These five entities are: Energy Strategic Advisory Services LLC; Fairfax Financial Holdings Limited; WL Ross & Co. [read post]
16 Jan 2018, 10:45 am
These five entities are: Energy Strategic Advisory Services LLC; Fairfax Financial Holdings Limited; WL Ross & Co. [read post]
17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
16 Jul 2015, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against ARI Financial Services, Inc. [read post]
17 May 2017, 6:47 am
Have you suffered losses investing in Gulfmark Offshore Inc. bonds at the recommendation of a financial advisor? [read post]
25 Jan 2017, 9:51 am
– The Consumer Financial Protection Bureau (CFPB) today took separate actions against CitiFinancial Servicing and CitiMortgage, Inc. for giving the runaround to struggling homeowners seeking options to save their homes. [read post]
25 Jul 2018, 7:28 am
Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, Woodbury Financial Services Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a… [read post]
29 Apr 2013, 4:11 am
In the Matter of the FINRA Arbitration Between UBS Financial Services, Inc., Claimant/Counter-Respondent, vs. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
