Search for: "Corps. Security Services, Inc."
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11 Jun 2020, 11:36 am
Morgan Securities LLC Chase Investment Services Corp Jody Pullium Allstate Financial Services, LLC PNC Investments Ana Rivera Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC John Santariello Arive Capital Markets Cape Securities Inc. [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co… [read post]
15 Nov 2008, 5:18 am
Several insurance groups with ties to the structured settlement industry submitted applications to become bank holding companies to the Office of Thrift Supervision (OTS) on Friday November 14, 2008.The Hartford Financial Services Group, parent of current structured annuity issuer Hartford Life Insurance Company, Genworth Financial Inc., and Aegon NV, parents of former structured annuity issuers were among the insurance groups.Hartford is seeking to acquire the Federal Trust… [read post]
6 Jul 2023, 8:00 am
HACKER PENETRATED FIREWALL AND ACCESSED DATA OF SOME 1.2 MILLION PATIENTSThe New York State Attorney General’s Office announced at the end of May that it had reached a settlement with a medical management company known as Professional Business Systems, Inc., d/b/a/ Practicefirst Medical Management Solutions and PBS Medcode Corp. [read post]
25 May 2011, 8:05 am
Among the broker/dealers to shutter: GunnAllen Financial Inc., QA3 Financial Corp., Okoboji Financial Services, and Jesup & Lamont Securities Corp. [read post]
20 May 2020, 2:25 pm
Fagenson, David Newbridge Securities Corp UBS Financial Services Inc. [read post]
14 May 2008, 12:09 pm
Busch, a security administration official. [read post]
24 Nov 2008, 12:05 pm
Representation Decisions issued by PERB[Source: PERB's Recent Decisions posting on the Internet]Petition for a separate unitCivil Service Employees Association, Inc., Local 1000, and Baldwin Union Free School District, PERB Decision C-5690CSEA filed a petition seeking to represent Security Aides in a separate unit. [read post]
23 Mar 2011, 5:05 pm
Saint-Gobain Performance Plastics Corp. and Matrixx Initiatives, Inc. v. [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
7 Jul 2021, 1:51 pm
Morgan Stanley Smith Barney Gaetano Magarelli Newbridge Securities Corp Ameriprise Financial Services, Inc. [read post]
18 Jun 2009, 9:20 am
Avaya, Inc., 2009 U.S. [read post]
3 Sep 2020, 8:38 am
Morgan Securities LLC Great Point Capital LLC Jonathan Malone Wells Fargo Clearing Services, LLC Brill Securities, Inc. [read post]
29 Sep 2009, 6:19 am
Companies Where At Least One Director Nominee Failed to Achieve Majority Support in 2009 ACI WORLDWIDE INC ADVANCED ANALOGIC TECH ANIXTER INTL INC ASSOCIATED ESTATES RLTY CORP ASSURANT INC CABLEVISION SYS CORP -CL A CATALYST HEALTH SOLUTIONS CHECKPOINT SYSTEMS INC CIRCOR INTL INC COGNEX CORP COMPUTER PROGRAMS & SYSTEMS DIGI INTERNATIONAL INC DOLLAR TREE INC ESSEX PROPERTY TRUST FIRST MERCURY… [read post]
23 Jun 2016, 2:32 pm
Byrne.The defendants (Viacom Inc. [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial… [read post]
2 Dec 2011, 1:27 pm
A recent article by Bruce Kelly of the investmentnews.com reported the opinion of Gordon Yale, a forensic accountant, who has served as an expert for dozens of investors who have brought claims against brokerage firms related to the sale of failed private placement investments issued by companies like DBSI, Inc., Medical Capital Financial Corp., and Shale (Provident) Royalties. [read post]
21 Jan 2012, 5:38 pm
Some of the potential issues the transaction raises include a high degree of consolidation in the trading services market and issues based on access and pricing of clearing and settlement services, as the transaction would also include the acquisition of CDS Inc., Canada’s currently not-for-profit equity and fixed-income clearing operator. ____________________ For more information about the proposed transaction see: a better exCHANGE [read post]
14 Apr 2007, 3:42 pm
CollegeNET, Inc. v. [read post]
27 Mar 2015, 7:07 am
Now in a similar action, FINRA alleged that between July 1, 2011, and June 30, 2013, Oriental Financial Services Corp. [read post]
