Search for: "Securities America Financial Corporation"
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30 Jul 2018, 3:55 pm
(CRD# 10205, hereinafter “Securities America”) financial advisor Hector A. [read post]
19 Apr 2021, 10:54 am
The other Advisor Group broker-dealers include Woodbury Financial Services, FSC Securities, SagePoint Financial, Royal Alliance Associates, and FSC Securities Corporation. [read post]
7 Oct 2004, 9:00 am
In Thursday's corporations and securities law news, Parmalat's government-appointed administrator has filed a suit against Bank of America in a North Carolina federal court. [read post]
24 Apr 2011, 11:48 am
[JURIST] A judge for the US District Court for the Central District of California [official website] on Friday dismissed [order, PDF] Bank of America (BOA) [corporate website] from a $17 billion lawsuit involving securities based on mortgages issued by Countrywide Financial Corporation [NYT backgrounder], a former subsidiary of the bank. [read post]
29 Jun 2011, 6:57 am
The securities, called first-lien residential mortgage-backed securitization, were issued by the BOA unit Countrywide Financial Corporation [corporate website], which it purchased [AP report] for $4 billion in 2008. [read post]
23 Oct 2009, 10:29 am
Securities America, a subsidiary of Ameriprise Financial, is becoming the target of more investor claims filed with the Financial Industry Regulatory Authority (FINRA) over allegations it falsely misrepresented private placement offerings associated with Medical Capital Holdings - the same company that the Securities and Exchange Commission (SEC) has charged in a $2 billion Ponzi scheme. [read post]
17 Mar 2004, 6:39 am
In Wednesday's corporations and securities law news, FleetBoston Financial Corp. and Bank of America Corp. shareholders approved a $47 billion merger that would create the nation's No. 3 bank. [read post]
26 Jan 2010, 5:59 pm
Securities America, a broker/dealer division of Ameriprise Financial, is facing charges by Massachusetts Secretary of State William Galvin for allegedly making omissions and misleading statements in connection to sales of some $700 million in promissory notes. [read post]
10 Jan 2018, 9:14 am
Continue reading The post Investors in Business Development Corporation of America May Have Arbitration Claims appeared first on Investor Lawyers Blog. [read post]
25 Oct 2019, 6:56 am
According to the finding of fact in the order, the same location housed four businesses: American Dream U, Nevada Benefits (Surevest Capital and Financial Services and Investment corporation. [read post]
18 Jul 2018, 12:34 pm
As recently reported, former financial advisor Hector Anthony May (CRD# 323779) was recently discharged from employment by Securities America, Inc. [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
10 Aug 2023, 1:56 pm
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
28 Apr 2020, 6:34 am
BDCA Secondary Sales Price Suggests Losses for Investors Did you lose money investing in the Business Development Corporation of America at the advice of your financial advisor? [read post]
3 Jan 2020, 10:45 am
Investors in Business Development Corporation of America (“BDCA”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
9 Jun 2017, 8:20 am
» BDCA Benefit Partners, BDCA class action, BDCA II closing, BDCA II dissolution, BDCA II distributions, BDCA II proxy, BDCA investigation, BDCA K-1, BDCA K1, BDCA lawsuit, BDCA liquidation, BDCA litigation options, BDCA news, BDCA offering, BDCA prospectus, BDCA redemption, BDCA SEC filings, BDCA ticker, Business Development Corporation of America complaints, Business… [read post]
15 Jul 2021, 3:00 am
’s Securities America Financial Corporation. [read post]
29 Aug 2011, 5:01 pm
Once again, Western and Southern Life Insurance Co. is suing Bank of America Corporation for the alleged misrepresentation of mortgage-backed securities that the financial firm sold to the insurer. [read post]
19 Jul 2012, 8:15 am
[JURIST] Bank of America (BOA) agreed Tuesday to pay $375 million in a settlement with bond insurer Syncora Guarantee [corporate websites; press release] over claims that Syncora was misled into insuring toxic mortgage-backed securities of BOA-owned Countrywide Financial Corporation [NYT backgrounder]. [read post]
12 Apr 2010, 3:36 am
However, corporations devote most of their security resources and budgets to protecting the custodial data. [read post]
