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31 Aug 2023, 6:13 am by Jonan Pilet
On Oct. 15, 2022, the firm’s third-party customer notified them that a finished product, non-exempt milk-based powdered infant formula tested positive for C. sakazakii. [read post]
28 Aug 2023, 9:05 pm by Coral Beach
FSIS “prohibited activity notices” may include any of the following: Failure of a recalling establishment or firm to notify its consignees of a recalled product Failure of a consignee to notify its customers of the recalled product Recalling establishment, firm, or consignee found offering a recalled product for sale When FSIS determines that an establishment or firm has not taken responsibility to remove or control adulterated, misbranded, or… [read post]
24 Aug 2023, 9:41 am by Eugene Volokh
The offending projectile was a "breaching" shotgun round manufactured by Safariland, LLC. [read post]
23 Aug 2023, 9:46 am by Dennis Crouch
Bush Hog, LLC, 703 F.3d 1349, 1356–57 (Fed. [read post]
17 Aug 2023, 10:49 am by The White Law Group
According to the article, those under investigation continue to sell Northwestern Mutual products. [read post]
14 Aug 2023, 2:11 am by The White Law Group
   According to a cease-and-desist order, Royal Alliance allegedly failed to supervise unsuitable investments in volatility-linked exchange traded products. [read post]
10 Aug 2023, 9:31 am by GraceLegere
Brokers are often incentivized to sell certain securities or investment products, which can lead to conflicts of interest when those particular products are not in the best interest of the investor. [read post]
3 Aug 2023, 11:17 am by Matthew Dochnal
Serving Texas Customers: Planning to sell products or services to Texas residents? [read post]
Michael Bruno is Strategy and Growth Leader at PerformancePoint, LLC, and Co-Founder of Aspire Talent Advisory Aris Federman is the Creative Director at PerformancePoint, LLC. [read post]
1 Aug 2023, 11:55 pm by D. Daxton White
In addition, FINRA ordered UBS PR to pay approximately $11 million in restitution to 165 customers who were forced to realize losses on their CEF positions. [read post]
31 Jul 2023, 12:40 pm by The White Law Group
(CRD#:7059), NEW YORK, NY IA, 12/03/2012 – 11/16/2016, LPL FINANCIAL LLC (CRD#:6413), ARDSLEY, NY B, 11/30/2012 – 11/16/2016, LPL FINANCIAL LLC (CRD#:6413), ARDSLEY, NY   Clarice Saw’s BrokerCheck record indicates three customer complaints have been filed against her. [read post]