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8 Mar 2010, 6:41 am
First Allied is owned by Advanced Equities Financial Corp. [read post]
3 Dec 2021, 6:53 am
FINRA, the U.S. securities industry regulator, said it has ordered New York City-based Aegis Capital Corp. to “pay approximately $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were potentially excessively and unsuitably traded by the firm’s representatives. [read post]
27 Sep 2007, 9:33 am
Today, the city and IBM Corp. are announcing the initial phase of what officials say could be the most advanced video security network in any U.S. city. 'Chicago is really light years ahead of any metropolitan area in the U.S. now,' said Sam Docknevich, who heads video-surveillance consulting for IBM. [read post]
9 Apr 2014, 9:34 am
New advances in digital security go hand in hand with ingenuous ways to steal digital information. [read post]
11 Jan 2019, 11:05 am
Segerdahl Corp. v. [read post]
8 Jun 2016, 8:26 am
SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
25 Apr 2016, 11:03 am
Andrew is a judge advocate in the United States Marine Corps Reserve where he holds the rank of major. [read post]
19 Mar 2015, 3:58 pm
TD Ameritrade Holding Corp., et al, No. 14-1689, slip op. (3rd Cir., Dec. 8, 2014), might be relevant. [read post]
28 Nov 2021, 1:01 pm
Meredith Corp., 16 F.4th 553 (8th Cir. 2021), the plaintiffs alleged that Meredith Corp. [read post]
4 Nov 2013, 4:28 am
As noted in this MoFo blog, Corp Fin is in the process of finalizing A+ offering rule recommendations under Title IV for the Commission's consideration. [read post]
4 Dec 2014, 6:53 am
Prometheus Laboratories, and Alice Corp. v. [read post]
14 May 2012, 7:37 am
The Woodall court also cited to another Supreme Court case, Lau's Corp. v. [read post]
17 Sep 2010, 6:00 am
Corp. [read post]
21 Mar 2018, 8:17 am
Per his online, FINRA BrokerCheck report, Meier was previously registered with Merrill Lynch form April 1984 until August 1985, Amerifirst Securities Corp from December 1985 until February 1989, Thomas McKinnon Securities in New York, New York from March 1989 until August 1989, FAIC Securities from June 1983 until December 1989, Prudential Securities in New York, from August 1989 until November 1992, Citigroup Global Markets in Miami, Florida from October… [read post]
23 Dec 2019, 1:40 pm
Morgan Securities LLC Chase Investment Services Corp Mostert, John Quest Capital Strategies, Inc. [read post]
14 Mar 2012, 5:55 am
Pacific West announced in December that it planned to close its doors this month and that it had begun a recruiting effort to move the company’s brokers to Multi-Financial Securities Corp. [read post]
26 Sep 2015, 4:37 am
Since February 2005, Cholankeril has been associated with Chase Investment Services Corp. and after 2012, with J.P. [read post]
9 Jul 2018, 12:59 pm
Previously, he was registered with Ameriprise in Cocoa, Florida from October 1996 until 2009, Newbridge Securities Corp in Heathrow, Florida from November 2010 until February 2013, IFS Securities in Cocoa from February 2013 until March 2015 and Fortune Financial Services in Cocoa from July 2015 until December 2017. [read post]
14 Feb 2022, 12:25 pm
Toshiba Corp., 2022 U.S. [read post]
5 Mar 2019, 9:56 am
Among the broker-dealers that sold these investments were Advisor Group firms Sagepoint Financial Inc, Royal Alliance Associates, Inc., Woodbury Financial Services, Inc., and FSC Securities Corp. [read post]
