Search for: "Securities America Financial Corporation"
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5 Oct 2009, 1:48 pm
On Sept. 14, 2006, a National Association of Securities Dealers arbitration panel (now the Financial Industry Regulatory Authority) fined Securities America $2.5 million for failing to adequately supervise one of its brokers, David L. [read post]
12 Feb 2009, 1:58 pm
Devlin Barrett ASSOCIATED PRESShttp://www.washingtontimes.com/news/2009/feb/12/fbi-investigating-530-corporate-fraud-cases/ FBI agents are conducting more than 500 investigations of corporate fraud amid the financial meltdown, FBI Deputy Director John Pistole told the Senate Judiciary Committee on Wednesday. [read post]
11 Jun 2007, 6:05 pm
-based Securities America Inc. a total of over $15 million for luring 32 long-term employees of Exxon Corporation into early retirement using false promises of high returns. [read post]
28 Apr 2011, 6:42 am
On April 26, 2011, Sony Computer Entertainment America (“Sony”) disclosed an information security breach that may affect up to 77 million consumers. [read post]
3 Sep 2013, 7:00 am
District Court for the Central District Court of California dismissed with prejudice a suit brought by the Federal Deposit Insurance Corporation (FDIC) against Countrywide Securities Corporation, Countrywide Financial Corporation, Bank of America Corporation, Deutsche Bank Securities, Inc. and Goldman, Sachs & Co. [read post]
15 Mar 2021, 6:26 am
With our nation’s financial watchdog sidelined, American investors have no way to determine whether and how their money is spent on corporations’ preferred political causes. [read post]
18 Feb 2009, 7:01 pm
He told Reuters news agency that he is currently focused on securing the company's facilities and getting his arms around its financial accounts. [read post]
18 Feb 2009, 7:01 pm
He told Reuters news agency that he is currently focused on securing the company's facilities and getting his arms around its financial accounts. [read post]
Pennsylvania Regulator Investigates Securities America and Landenburg Thalmann Non-Traded REIT Sales
17 Apr 2014, 6:23 am
According to Ladenburg Thalmann the company is unable to determine whether and the extent that the Pennsylvania Department of Banking and Securities may seek to discipline Securities America A REIT is a corporation or trust that owns income-producing real estate properties. [read post]
31 Jul 2010, 5:17 am
This new legislation is aimed to crack down on the excesses of Wall Street and corporate America by overhauling banking and Wall Street regulations. [read post]
12 Feb 2010, 6:58 am
One of the identified risks, the lack of “audited financials,” was highlighted in 2005 as a risk by Securities America's own President and a voting member of the Due Diligence Committee, Jim Nagengast. [read post]
21 Nov 2022, 9:02 am
Bank of America Securities, Inc. [read post]
28 Nov 2022, 9:02 am
Bank of America Securities, Inc. [read post]
16 Sep 2020, 1:39 pm
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
14 Apr 2011, 11:22 am
The representative plaintiffs’ motion sought approval of a 23(b)(1)(B) limited fund settlement with two of the defendant broker-dealers, Securities America, Inc. and Securities America Financial Corporation. [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, Unite... [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, United States District Court for the District of Columbia, 23-CV-1506) DOJ RELEASES St. [read post]
24 Nov 2018, 10:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Dexter Thomas (Thomas), formerly associated with United Planners Financial Services of America LP (United Planners) in Dallas, Texas has been accused by his former firm over unapproved securities and making client loans. [read post]
11 Mar 2007, 9:21 am
Structured settlement annuity issuers again appear in the FORTUNE list of America's Most Admired Companies for 2007. [read post]
3 Jun 2019, 11:11 am
During the six years Bastardi was a registered broker, he worked with three other brokerage firms, including National Securities Corporation, Chelsea Financial Services, and Cape Securities, Inc. [read post]
