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1 Jul 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: According to a survey by InvestmentNews for 2013, the top five Independent broker-dealers firms ranked by total account assets are: LPL Financial, with total account assets of $437,906.7 M Raymond James Financial Services Inc., with total account assets of $191,660.5M Northwestern Mutual, with total account assets of $100,090.9M Commonwealth Financial Network, with total account assets of $85,992.0M… [read post]
26 Jan 2007, 3:01 pm
COLUMBUS, Ohio (AP) - Computer records containing medical claim information, health data and Social Security numbers of 28,279 health insurance customers of Nationwide Mutual Insurance Co. were stolen from the office of a vendor in Massachusetts, the company said. [read post]
17 Jun 2011, 9:35 am
Scientific-Atlanta, Inc. [read post]
8 Feb 2021, 11:25 am
Bonilla was a broker with David Lerner Associates, Inc. in Boca Raton, FL when the alleged conduct occurred. [read post]
25 Aug 2008, 7:14 pm
Some of the features that will be available in the new SEC database have already been provided (for a subscription fee) by vendors such as 10-K Wizard, Edgar Online, Inc. and Global Securities Inc. [read post]
11 Jul 2007, 7:42 am
The Securities and Exchange Commission recently made a $37 million disbursement to more than 300,000 investors in the Columbia Funds who were injured in the widespread fraudulent mutual fund market timing scandal. [read post]
18 Jun 2007, 1:02 pm
DeBenedictis alleged that Merrill Lynch and affiliates violated federal securities law by selling Class B shares of mutual funds without disclosing that they carried higher expenses and produced lower yields than other classes of shares. [read post]
24 Oct 2008, 12:12 pm
North America Inc. [read post]
14 Jun 2011, 1:02 pm
Supreme Court in the case of Janus Capital Group, Inc. v. [read post]
20 Mar 2014, 10:52 am
These include: Risort Partners Inc., Hullstar Capital LLP, Camber Alliance LLP, Kimrod Estate LLP, and Midlcorp Trade LTD. [read post]
5 Jul 2023, 12:52 pm
Hightower Securities allegedly failed to reasonably supervise certain representatives’ recommendations of the LJM Preservation & Growth Fund (LJM), an alternative mutual fund, between March 18, 2016, and February 8, 2018. [read post]
26 Jan 2010, 8:00 am
Vishay Intertechnology Inc., 581 F.3d 305 (6th Cir. 2009) and Segal v. [read post]
10 Mar 2021, 10:58 am
David Lerner Associates, Inc. [read post]
30 Apr 2014, 6:30 am
©2014 Amaxx Risk Solutions, Inc. [read post]
12 May 2010, 11:51 am
In one securities fraud complaint that looked at when shareholders can sue mutual–fund mangers that had allegedly charged fees that were excessive, her office submitted a legal brief supporting investors. [read post]
7 Jan 2020, 8:13 am
Prior to joining Centaurus Financial in 2015, Nishnic worked for First Allied Securities, Gunnallen Financial, Inc., and J.P. [read post]
17 Jan 2019, 12:53 pm
“The broad capabilities and flexible nature of Nighthawk Global’s services have generated tremendous value for our mutual clients and synergies for EXTEND,” stated Howard Hoffmann, EXTEND Resources CEO. [read post]
27 Sep 2011, 12:35 pm
SunTrust Banks Inc., a putative class securities action claiming that a 2008 SunTrust (STI) securities’ offerings documents contained faulty financial disclosures, can proceed. [read post]
22 Jul 2015, 6:28 am
In September 1996, Bray became registered with Alton Securities Group, Inc. [read post]
1 Nov 2023, 12:38 pm
(CRD#:23131), MORGANTOWN, WV, B, 08/27/1986 – 11/02/2018, SIGNATOR INVESTORS, INC. [read post]
