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27 Dec 2023, 2:02 pm
Goff was reportedly affiliated with the following firms during his career, among others: 09/12/2011 – 10/25/2023, WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616), SALT LAKE CITY, UT, B, 04/17/2008 – 10/09/2009, HORNOR, TOWNSEND & KENT, INC. [read post]
21 Dec 2023, 4:00 am
Payne Publisher: Irwin Law Inc. [read post]
20 Dec 2023, 11:01 am
Baron was reportedly affiliated with the following firms during his career, among others: 08/13/2015 – 01/07/2022, EQUITY SERVICES, INC. [read post]
20 Dec 2023, 3:00 am
Department of Health and Human Services. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
12 Dec 2023, 1:05 pm
(CRD#:173962), Williamsville, NY, B, 02/23/2018 – 06/02/2021, SAGEPOINT FINANCIAL, INC. [read post]
11 Dec 2023, 7:09 am
Walmart Inc., No. 3:23-cv-06083 (W.D. [read post]
8 Dec 2023, 11:11 am
(CRD#:17499), PANAMA CITY, FL B, 04/07/2010 – 01/07/2013, HANCOCK INVESTMENT SERVICES, INC. [read post]
8 Dec 2023, 10:02 am
Department of Health and Human Services Breach Portal. [read post]
5 Dec 2023, 10:38 am
BANCORP INVESTMENTS, INC. [read post]
4 Dec 2023, 4:58 am
The letter also spelled out certain “initial business set-up services and continuing business support services” to be provided by GF to the proposed LLC, including office space and facilities, insurance, human resource management, accounting, IT, marketing, and legal counsel to assist in “forming the partnership and associated agreements to be filed as a legal business entity. [read post]
30 Nov 2023, 6:41 am
Case Citation: Source Capital Funding Inc. v. [read post]
29 Nov 2023, 2:23 pm
(CRD#:5685), Alpena, MI, B, 03/25/2017 – 02/09/2018, MML INVESTORS SERVICES, LLC (CRD#:10409), ALPENA, MI B, 10/08/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. [read post]
28 Nov 2023, 10:19 am
FINRA BrokerCheck Report – Hector Hernandez According to this FINRA BrokerCheck report, Hector Hernandez was affiliated with the following firms during his career, among others: 12/22/2021 – 04/08/2022, PEAK BROKERAGE SERVICES, LLC (CRD#:157045), San Antonio, TX, B, 07/18/2012 – 12/17/2021, MONEY CONCEPTS CAPITAL CORP (CRD#:12963), Shavano Park, TXB, 10/09/2008 – 07/06/2012, NEXT FINANCIAL GROUP, INC. [read post]
26 Nov 2023, 6:52 am
In 2023, on-premise software accounts for 32% of the market. [read post]
22 Nov 2023, 11:13 am
These can include income garnishment, seizure of property, suspension of driver’s or professional licenses, and in extreme cases, jail time. [read post]
22 Nov 2023, 6:09 am
Poirier is active in numerous professional and civic organizations. [read post]
21 Nov 2023, 3:15 pm
Joseph’s Medical Center (“SJMC”) resolves potential OCR charges that SJMC violated the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”) Privacy Rule by allowing an Associated Press (“AP”) reporter to access, photograph, and review clinical information of three COVID-19 patients without appropriate HIPAA authorization. [read post]
15 Nov 2023, 6:26 am
In addition, the SEC obtained judgments from federal courts ordering: Danske Bank, a multinational financial services corporation, to pay a $178.6 million civil penalty to resolve charges that it misled investors about its anti-money laundering compliance program and failed to disclose risks posed by the program’s significant deficiencies; and Vale S.A. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
