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Recent Report to SEC Notes Four Pending Disputes Against Sigma Financial InvestmentNews reports that according to Sigma Financial Corp. [read post]
Frederick Randhahn, a former Sigma Financial Corporation broker, is suspended by the Financial Industry Regulation Authority (FINRA) for nine months after he allegedly sold $625K of Woodbridge promissory notes to investors without the brokerage firm’s permission and approval to sell these products. [read post]
26 Jan 2015, 8:24 am by Adam Weinstein
FINRA found that Sigma Financial’s reliance upon BD OPS to remotely conduct all of the supervisory and compliance functions for Sigma Financial’s independent contractors and branch offices was not reasonable. [read post]
27 Jan 2015, 5:58 am by Adam Weinstein
In this way FINRA found that Sigma Financial did not conduct adequate supervision of those non-preferred vendor websites. [read post]
Shortly after investors purchased those medium-term notes, analysts following Sigma warned that the lack of liquidity in the credit market and sharp declines in the market value of assets backing Sigma threatened its financial viability. [read post]
23 Sep 2019, 12:47 pm by Renae Lloyd
Michigan RIA, Sigma Planning, reportedly sanctioned for mutual fund conflicts Sigma Planning Corp., based in Ann Arbor, Michigan, has reportedly reached a settlement with the Securities and Exchange Commission in which the firm will pay $2.5 million in fines and restitution to clients after it faced charges that it allegedly chose mutual funds for clients that gave the firm financial benefits without disclosing its conflicts to clients. [read post]
8 May 2022, 6:30 pm by Daily Record Staff
Loyola University Maryland’s chapter of Beta Gamma Sigma, a business honor society, inducted as an honorary member Steve Vintz, MBA, chief financial officer of Tenable and member of the Board of Sponsors for Loyola’s Sellinger School of Business and Management. [read post]
13 Nov 2014, 5:22 am by Adam Weinstein
According to the Financial Industry Regulatory Authority’s BrokerCheck system, there have been four customer complaints filed against former Sigma Financial Corporation (Sigma) and current Charles Schwab broker, Mark Johanson (Johanson) stemming from unsuitable Tenants-in-Common (TIC) investments. [read post]
9 Sep 2009, 1:02 pm by WorkCompEdge Blog Editor
SIGMA continues to monitor this situation. [read post]
20 Jul 2009, 2:38 pm
Remember that all property is unique, with its own characteristics and potential.Don't let John Ryan "judo chop" your financial plan! [read post]
30 Jun 2014, 12:51 pm by Ray Frager
The Zeta Sigma Alumni Chapter ... [read post]
15 Aug 2017, 3:12 pm by Scott M. Pearson
On July 28, 2017, California Governor Jerry Brown’s Office of Business and Economic Development recognized the California Department of Business Oversight for a successful Lean Six Sigma project that dramatically reduced the processing time for applications to amend financial services licenses. [read post]
25 Sep 2019, 10:41 pm by anne
Examples of employment visa fraud cases with financial recoveries the U.S. include: Mu Sigma. [read post]
17 Mar 2022, 9:12 am by Ronald V. Miller, Jr.
Patients who were injured by a malfunctioning Baxter infusion pump may be able to file product liability lawsuits and seek financial compensation from the manufacturer. [read post]
28 Dec 2015, 7:57 am by Adam Weinstein
Since August 2003 onward Velken has been registered with Sigma Financial Corporation out of the firm’s Lafayette, California office location. [read post]
24 Aug 2012, 1:00 pm by Jim Chen
MoneyLaw recently announced my latest manuscript, Scholarships at Risk: The Mathematics of Merit Stipulations in Law School Financial Aid. [read post]
24 Aug 2012, 1:00 pm by Jim Chen
MoneyLaw recently announced my latest manuscript, Scholarships at Risk: The Mathematics of Merit Stipulations in Law School Financial Aid. [read post]
25 Mar 2010, 1:09 pm by WorkCompEdge Blog Editor
The goal of the survey was to assess, on a national basis, trends in workers compensation collateral negotiations, exposures, reviews, arbitration, litigation, and other factors that SIGMA actuaries have been seeing with our own clients since the financial crisis of 2009. [read post]