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8 Feb 2019, 1:58 pm
Brokers such as Dietrich have an obligation to tell their broker-dealers that they are selling private securities or participating in a private securities transaction, yet Dietrich allegedly did not tell Quest Capital Strategies Inc. that he was allegedly selling the Woodbridge notes, according to the AWC. . [read post]
7 Feb 2019, 3:03 pm
In addition to recovering the single largest individual HIPAA settlement in history of $16 million with Anthem, Inc. [read post]
7 Feb 2019, 12:08 pm
Amgen, Inc. [read post]
6 Feb 2019, 7:26 am
Walmart said the use of “Protected PTO” would not count against associates’ attendance records. [read post]
6 Feb 2019, 7:05 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
6 Feb 2019, 7:04 am
In May 2018 a customer filed a complaint alleging that Burks violated the securities laws by making unsuitable recommendations and the associated liquidity risks were not fully explained. [read post]
5 Feb 2019, 10:46 am
On January 29, 2019, the Securities and Exchange Commission (“SEC”) settled charges with the following four public companies for alleged deficiencies in maintaining ICFR: Grupo Simec S.A.B. de C.V., CytoDyn, Inc., Lifeway Foods, Inc. and Digital Turbine, Inc. [read post]
4 Feb 2019, 8:12 am
And associated coverage questions.Homes that are vacant, unoccupied or under construction are generally not covered for freezing losses unless their owners have used reasonable care to either maintain heat or shut off the home's water supply and drain the pipes. [read post]
4 Feb 2019, 7:07 am
According to BrokerCheck records financial advisor Ian Greenblatt (Greenblatt), currently employed by Capitol Securities Management, Inc. [read post]
4 Feb 2019, 6:28 am
Mattress Firm Inc. [read post]
3 Feb 2019, 4:51 pm
inc Customer Data Security Breach Litigation” can be found here [pdf]. [read post]
3 Feb 2019, 2:02 pm
James Flynn was registered with IFS Securities in Greenville, SC from February 16, 2017 until February 20, 2018, and with Zoya Financial Advisors, Inc. in Greenville, SC from May 31, 2013 until February 22, 2017, FINRA notes. [read post]
3 Feb 2019, 9:46 am
From April 2011 until December 2011 Richardson was associated with Geneos Wealth Management, Inc. [read post]
3 Feb 2019, 9:45 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
31 Jan 2019, 12:58 pm
From June 2011 until April 2016 Abramowitz was associated with Raymond James Financial Services, Inc. [read post]
30 Jan 2019, 3:23 pm
On January 22, 2019, the Financial Industry Regulatory Authority, Inc. [read post]
30 Jan 2019, 2:48 pm
Kitts was registered with Royal Alliance Associates, Inc. in Palmer, Massachusetts from April 8, 2004 through November 16, 2017, according to Kitts’ FINRA BrokerCheck Report. [read post]
30 Jan 2019, 4:00 am
In addition, the National Constitution Center offers a concise history of presidents’ use of executive privilege. [read post]
29 Jan 2019, 8:22 pm
Citing First Options of Chicago, Inc. v. [read post]
29 Jan 2019, 7:17 am
In October 2018, Anthem, Inc., agreed to pay the HHS Office for Civil Rights (“OCR”) $16 million and take substantial corrective action to settle regulatory enforcement after a series of cyberattacks led to the largest U.S. health data breach in history. [read post]
