Search for: "NFP Securities, Inc."
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6 Mar 2024, 4:39 pm
The Court of Appeal found that since a party’s NFP was to include all property owned by the spouse at separation, and further, that nothing in the Islamic Marriage Contract expressed a provision to exclude the Mahr from the wife’s NFP calculation, that it must be treated as an asset to the wife at the date of separation and equalized correspondingly. [read post]
6 Mar 2024, 4:39 pm
The Court of Appeal found that since a party’s NFP was to include all property owned by the spouse at separation, and further, that nothing in the Islamic Marriage Contract expressed a provision to exclude the Mahr from the wife’s NFP calculation, that it must be treated as an asset to the wife at the date of separation and equalized correspondingly. [read post]
1 Feb 2022, 4:08 pm
Civil enforcement actions against the parties responsible for triggering and fueling the opioid epidemic are a critical part of the department’s ongoing efforts to address this crisis.Consistent with this focus, the largest False Claims Act settlements in the past year resulted from significant resolutions with prescription opioid manufacturers: Indivior Inc. and Indivior plc (Indivior), and Purdue Pharma (Purdue). [read post]
10 Mar 2021, 1:44 pm
Warner has recently been associated with the following financial institutions: Chelsea Financial Services (2017 – 2019), Dominion Investor Services, Inc (2017), IFS Securities (2014 – 2017), NFP Advisor Services, LLC (2013 – 2014), and LPL Financial, LLC (2003 – 2013). [read post]
1 Jan 2021, 11:59 am
In By the Hand Club for Kids, NFP, Inc. v. [read post]
28 May 2019, 1:58 pm
His previous employers include Financial Telesis Inc (CRD#: 31012) and Financial West Group (CRD#: 16668), both of Westlake Village, CA, and Sentra Securities Corporation (CRD#: 10249) of Phoenix, AZ. [read post]
25 Apr 2019, 10:59 am
Thereafter, in July 2018 NFP Retirement Inc. [read post]
15 Nov 2018, 6:21 am
Scalese was registered with Summit Brokerage Services, Inc. in Dunmore, PA from March 29, 2010 until November 2, 2012, FINRA notes, and also worked with NFP Securities, Inc. in Dickson City, PA from April 6, 2006 until March 31, 2010. [read post]
4 Sep 2018, 2:22 pm
From July 2013 to December 2014, Warner was registered with NFP Advisor Services, LLC. [read post]
19 Jul 2018, 4:05 am
In By the Hand Club for Kids, NFP, Inc. v. [read post]
8 Dec 2017, 6:52 am
Thereafter, Warner was terminated from NFP Advisors Services (NFP Advisors) under similar circumstances. [read post]
13 Apr 2017, 11:05 am
Rosenberg’s BrokerCheck Report he has been a registered representative with NFP Securities. [read post]
13 Apr 2017, 10:27 am
Thirty-eight Customer Complaints According to Stuart Horowitz’s BrokerCheck Report he has been a registered representative with NFP Securities. [read post]
20 Jul 2015, 3:15 am
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue NFP Advisor Services, LLC (f/k/a NFP Securities, Inc.) submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Dec 2014, 8:10 am
NFP Securities, Inc. [read post]
13 May 2014, 7:02 am
NFP Securities, Inc. purchased Contemporary Benefits Designin 2006. [read post]
18 Feb 2014, 6:27 am
Both NFP Securities, Inc. and WFG Investments Inc. have been know to sell the Icon Funds to their clients. [read post]
6 Aug 2013, 9:58 am
According to his FINRA Broker Report, Mickelson was registered with NFP Securities in Oceanside, California from March 2004 through May 2011. [read post]
25 Jul 2012, 1:00 pm
It may be possible to recover funds through arbitration cases against Triad Advisors Inc, Ogilvie Securities Advisors Corp, 21st Century Planning Inc, which he owned, and NFP Securities Inc. [read post]
18 Oct 2011, 2:55 pm
According to the Illinois Securities Department, Steven Howard Delott was a registered representative of NFP Securities, which he disclosed Delott & Associates as an outside business activity. [read post]
