Search for: "Risk Placement Services, Inc."
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14 May 2012, 3:24 pm
The US Department of Health and Human Services has sent Allergan Inc. a subpoena requesting documents related to the Lap-Band System. [read post]
4 May 2012, 1:06 pm
Forethought Financial Group, a privately-owned Houston based firm, is bringing more annuities business to Texas with its purchase of The Hartford Financial Services Group Inc. [read post]
27 Apr 2012, 7:34 am
©2012 Amaxx Risk Solutions, Inc. [read post]
25 Apr 2012, 8:25 am
Another seller of high-risk private placements has withdrawn from FINRA. [read post]
7 Apr 2012, 4:00 pm
Jon Brodkin of InfoWorld gives seven recommendations from the technology research firm Gartner, Inc. [read post]
6 Apr 2012, 7:14 pm
(The SRO says that the private placement offerings were not only high risk, but also they failed to meet the client’s investment objectives.) [read post]
31 Mar 2012, 8:17 pm
Sung Hyun Min, formerly with Etech Securities Inc., in Pasadena, California, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days in relation to a finding that he permitted a non-registered person to service his customer accounts resulting in a loss of $60,000 in one of those accounts. [read post]
14 Mar 2012, 6:11 am
Imperial Tobacco Group Plc (IMP), British American Tobacco Plc (BATS) and Japan Tobacco Inc. (2914) are among companies that have challenged the law, which Australia is extending to include cigars and loose-leaf tobacco products. [read post]
4 Mar 2012, 1:18 pm
Last month, in Service One Cable T.V., Inc. v. [read post]
27 Jan 2012, 6:55 am
Capital Financial Services, Inc. [read post]
18 Jan 2012, 4:27 am
As a service to the public at large, these are four separate news sources reporting on this pandemic that is affecting thousands of women. [read post]
18 Jan 2012, 12:31 am
This issue has recently been addressed in the case of Citigroup, Inc. v. [read post]
10 Jan 2012, 11:07 am
©2012 Amaxx Risk Solutions, Inc. [read post]
2 Dec 2011, 1:27 pm
Kelly notes that FINRA recently fined the former president of Capital Financial Services $10,000 related to the sale of Medical Capital and Provident Royalties. [read post]
1 Dec 2011, 10:43 am
The high-risk private placements were issued by Medical Capital Holdings Inc., Provident Royalties LLC, and DBSI Inc., all of which eventually failed, leading to sizeable investor losses. [read post]
30 Nov 2011, 1:02 pm
In one example of a regulatory action, Brian Boppre, the former president of Capital Financial Services Inc., submitted a Letter of Acceptance, Waiver to and Consent (AWC) to FINRA. [read post]
31 Oct 2011, 1:55 pm
Last week the Financial Services Committee of the U.S. [read post]
27 Oct 2011, 12:30 pm
• Securities Network LLC • Asset Management Strategies LLC • Okoboji Financial Services Inc. [read post]
19 Oct 2011, 5:40 am
Soler Chrysler-Plymouth, Inc., 473 U.S. 614, 627 (1985)). [read post]
16 Oct 2011, 6:42 pm
FLOWERS, INC., et al., Debtors. [read post]
