Search for: "Security American Financial Enterprises, Inc."
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17 Oct 2018, 4:19 pm
Beyond OCR’s publication of extensive regulatory guidance and educational outreach discussing the responsibility to conduct and maintain documentation of appropriate enterprise risk assessments, virtually every announced HIPAA Security Rule civil monetary penalty assessment and other enforcement action identifies violation of the HIPAA Security Rule’s enterprise risk assessment requirements among the material transgressions committed and… [read post]
4 Mar 2013, 12:45 pm
FINRA fined Ameriprise Financial Services, Inc. and its affiliated clearing firm, American Enterprise Investment Services Inc. [read post]
5 Mar 2008, 8:01 am
(NYSE:FCN), the global business advisory firm dedicated to helping organizations protect and enhance their enterprise value, today announced that it has acquired TSC Brasil Limitada (TSC), the leading systems integrator and computer forensic and IT security consultant in the Brazilian and greater South American marketplace. [read post]
13 Mar 2023, 8:01 am
”That disagreement and the resulting controversy creates reputational, legal, and financial risk, the group claimed, not just for Apple, but for other companies, including Bank of America, American Express, Verizon and others, according to the group’s proxy filing. [read post]
4 Jun 2010, 10:21 pm
Securities and Exchange Commission has filed a securities fraud lawsuit against investment firm GTF Enterprises Inc., money manager Gedrey Thompson, and associates Sezzie Goodluck and Dean Lewis. [read post]
6 May 2013, 8:52 am
FINRA recently announced that it has fined Ameriprise Financial Services, Inc. and its affiliated clearing firm, American Enterprise Investment Services Inc. [read post]
11 May 2018, 7:22 am
The savings and loan crisis ultimately bankrupted the FSLIC and cost American taxpayers [read post]
27 Oct 2016, 8:48 am
OHSU performed risk analyses in 2003, 2005, 2006, 2008, 2010, and 2013, but OCR’s investigation found that these analyses did not cover all ePHI in OHSU’s enterprise, as required by the Security Rule. [read post]
19 Mar 2013, 7:39 am
The Financial Industry Regulatory Authority, (FINRA) issued a news release on March 4, 2013 announcing that it had fined Ameriprise Financing Services, Inc. and its affiliated clearing form American Enterprise Investment Services, Inc [read post]
25 Oct 2015, 11:12 am
Celebrated annually in October, NCSAM was created to provide resources to help Americans stay safer and more secure online through public-private collaboration between the U.S. [read post]
29 May 2015, 10:48 am
Swagel, Professor in International Economic Policy, University of Maryland School of Public Policy, and Visiting Scholar, American Enterprise Institute J.W. [read post]
4 Apr 2011, 9:02 am
$120,000 American Portfolios Financial Services Inc [read post]
4 Mar 2009, 1:39 pm
One of the Plaintiffs, North American Senior Care, Inc. [read post]
5 Jan 2023, 2:22 pm
Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. [read post]
16 Dec 2010, 8:46 am
$120,000 American Portfolios Financial Services Inc [read post]
29 Jun 2010, 1:47 pm
Broker-dealers that sold Provident Royalties private placements Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd. $110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc. $585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc. $100,000 $2,250 Barron Moore Inc. $250,000 $96,750 Boogie Investment Group… [read post]
16 Dec 2019, 3:13 pm
Beyond these violations, OCR also found that DADS also violated the HIPAA Security Rule by failing to conduct the required accurate and thorough enterprise wised risk analysis required by the HIPAA Security Rule. [read post]
23 Mar 2015, 2:16 am
In yet another U.S. securities class action lawsuit involving a non-U.S. company and a corruption investigation in the company’s home country, on March 19, 2015 a shareholder of Chemical & Mining Company of Chile, Inc. [read post]
4 Jan 2011, 7:32 am
$110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc [read post]
2 Dec 2009, 5:51 am
†Upon having loaded its passengers, the bus, flanked by national and international media â€" more journalists in fact than tour participants â€" took the road to Fairfield County, Connecticut to tour the homes of executives who work for the American International Group, Inc., a mammoth international insurance company with significant financial services operations in more than 130 countries. [read post]
