Search for: "Cooper Financial, LLC"
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18 Feb 2021, 9:15 am
” The company said it is “cooperating with all of these inquiries and have continued to enhance our controls related to our sales practices. [read post]
16 Feb 2021, 8:16 am
The discussion will focus on ideas to strengthen governance and cooperation on artificial intelligence and technology, U.S. engagement in global development and bridging financial gaps. [read post]
22 Jan 2021, 11:28 am
James Couture (James Kenneth Couture CRD#: 4460284) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Worchester, MA. [read post]
22 Jan 2021, 2:25 am
According to the Dutch government, financial institutions have had sufficient time to amend contracts and/or relocate activities and sufficient preparations have been made. [read post]
14 Jan 2021, 12:09 pm
Cooper) (distressed mortgage fraud) — The largest non-bank mortgage servicer in the country, Nationstar (Mr. [read post]
14 Jan 2021, 9:14 am
The plaintiffs in the case, led by Patti’s Pitas LLC and Queen City Tours, told the court they reached an agreement with Wells Fargo as they asked for a preliminary approval of the deal, which also includes changes to the financial company’s practices that they say will save customers $50 million a year. . . . [read post]
8 Jan 2021, 11:01 am
The cases were brought by whistleblower OnTheGo Wireless, LLC, who sued the carriers under the California False Claims Act and Nevada False Claims Act. [read post]
7 Jan 2021, 8:30 pm
National/Federal Aides Weigh Resignations, Removal Options as Trump Rages Against Perceived Betrayals MSN – Philip Rucker, Josh Dawsey, Shane Harris, and Ashley Parker (Washington Post) | Published: 1/7/2021 President Trump was ensconced in the White House residence, raging about perceived betrayals, as an array of top aides weighed resigning and some senior administration officials began conversations about invoking the 25th Amendment – an extraordinary measure that would remove… [read post]
5 Jan 2021, 6:56 am
Narinder Singh (Narinder Kaur Singh CRD:# 3100308, aka “Narinder Dutt”) is a previously registered broker whose last known employer was Farmers Financial Solutions, LLC (CRD#:103863) of Sacramento, CA. [read post]
4 Jan 2021, 12:05 pm
Financial Advisors who have engaged in misconduct or otherwise violated FINRA rules or regulations frequently surrender their license rather than cooperate in a FINRA investigation. [read post]
4 Jan 2021, 9:21 am
Narinder Singh Farmers Financial Solutions, LLC ProEquities, Inc. [read post]
4 Jan 2021, 7:30 am
Dean Grosskreutz Allstate Financial Services, LLC Morgan Keegan & Company, Inc. [read post]
28 Dec 2020, 1:55 pm
Ianace initially cooperated with the investigation, but stopped in August of 2020. [read post]
17 Dec 2020, 8:03 am
The regulator did not fine RBC, instead, crediting the firm for its “extraordinary cooperation. [read post]
24 Nov 2020, 6:30 am
Author Michael Stack, CEO Amaxx LLC. [read post]
3 Nov 2020, 9:03 pm
The petition was filed Oct. 13 by Union, NJ-based D’Artagnan LLC. [read post]
8 Oct 2020, 8:56 am
The settlements also leave nonsettling defendants Visa and MasterCard jointly and severally liable for the remainder of plaintiffs’ damages and secure cooperation from the bank defendants in the notice process and litigation,” the filing says. [read post]
19 Sep 2020, 8:30 am
-Australian cyber cooperation amid Chinese aggression. [read post]
11 Sep 2020, 9:45 am
The post FINRA Report: Brokers Often Refuse to Cooperate During Investment Fraud Investigations appeared first on Zamansky LLC. [read post]
11 Sep 2020, 3:00 am
Five months later, Trump’s financial supremacy has evaporated. [read post]
