Search for: "Security Credit Services, LLC "
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13 Sep 2019, 6:42 am
Advisers Act Section 202(a)(11)(C) excludes from this definition any broker-dealer who performs these services in a manner that is "solely incidental" to the conduct of the broker-dealer business and who does not receive "special compensation" for those services; this exclusion is known as the broker-dealer exclusion.The Commission’s new interpretive release, issued the same day it adopted Regulation BI, states in relevant part: "We interpret the… [read post]
22 Aug 2017, 6:46 am
In 2010, the Securities and Exchange Commission (“SEC”) filed a complaint against Hicks and his two hedge fund advisers, Southridge Capital Management LLC (“Southridge Capital”) and Southridge Advisors, LLC (“Southridge Advisors”). [read post]
22 Jun 2011, 6:07 pm
Prospect, IL 60056-5788 AMERICAN SERVICE FINANCE CORPORATION DBA MERCHANTS INTERSTATE COLLECTION AGENCY 640 PLAZA DR STE 310 HIGHLANDS RANCH, CO 80129 AMERIQUEST RECOVERY SERVICES LLC 1845 HIGHWAY 93 SOUTH STE 310 KALISPELL, MT 59901 AMSHER COLLECTION SERVICES INC 600 BEACON PKY STE 300 BIRMINGHAM, AL 35209 APEX FINANCIAL MANAGEMENT LLC 1120 LAKE COOK RD BUFFALO GROVE, IL 60089 APOLLO CREDIT AGENCY INC DBA WESTERN… [read post]
22 Jun 2011, 6:07 pm
Prospect, IL 60056-5788 AMERICAN SERVICE FINANCE CORPORATION DBA MERCHANTS INTERSTATE COLLECTION AGENCY 640 PLAZA DR STE 310 HIGHLANDS RANCH, CO 80129 AMERIQUEST RECOVERY SERVICES LLC 1845 HIGHWAY 93 SOUTH STE 310 KALISPELL, MT 59901 AMSHER COLLECTION SERVICES INC 600 BEACON PKY STE 300 BIRMINGHAM, AL 35209 APEX FINANCIAL MANAGEMENT LLC 1120 LAKE COOK RD BUFFALO GROVE, IL 60089 APOLLO CREDIT AGENCY INC DBA WESTERN… [read post]
3 Jul 2011, 12:13 am
Back to top RELATED LINKS http://www.expertfinancing.net Tomassi Law Associates, LLC – Learn More at www.attorneyri.com article sourceEscalating interest rates for Loans For Bad Credit do not deter many individuals, in truth, more and more are expending Auto Loan For Bad Credit Tomassi Law Associates, LLC is a Rhode Island based law practice with offices in Wakefield, Warwick and North Providence, RI. [read post]
20 Jun 2011, 4:47 am
The Court’s decision provides additional guidance regarding the scope of primary securities fraud liability for outside service providers (such as investment advisors and attorneys) as well as various individuals within companies. [read post]
15 Aug 2023, 3:26 am
The workers seek to secure a class of all current/former customer service representatives for the past three years. [read post]
12 Jan 2022, 11:39 am
In its enforcement actions, the FTC has targeted both lead generators and users of their services. [read post]
6 Oct 2022, 3:00 am
Depending on your age, you must have accumulated work “credits. [read post]
23 Sep 2013, 7:53 am
A bank, partnership, corporation, a nonprofit, an LLC or a trust can also be accredited investors as long as they satisfy certain tests. [read post]
10 Apr 2012, 2:19 pm
(C) subsidiary Citi International Financial Services LLC has agreed to pay almost $1.25 million in restitution and fines to settle claims by FINRA that it charged excessive markups and markdowns on corporate and agency bond transactions between July 2007 and September 2010. [read post]
23 Feb 2018, 7:33 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States. [read post]
23 May 2014, 5:00 am
As the managing member of JDS Capital Management, LLC, the ultimate parent of Dimensional Associates, Joseph D. [read post]
14 Apr 2017, 2:26 am
Court of Appeals in San Francisco which found FilmOn X, LLC, to be a “cable system” that was eligible for compulsory licenses under the Copyright Act. [read post]
25 Jul 2008, 7:17 pm
Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc., Wachovia Capital Markets, LLC, and Bank of America Securities LLC. [read post]
2 Jun 2009, 1:06 am
Credit-Based Asset Servicing and Securitization LLC
U.S. [read post]
22 May 2024, 8:30 am
Without admitting or denying the SEC’s findings, ICE and its subsidiaries, consisting of Archipelago Trading Services, Inc.; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; ICE Clear Credit LLC; ICE Clear Europe Ltd.; NYSE Chicago, Inc.; NYSE National, Inc.; and the Securities Industry Automation Corporation agreed to a cease-and-desist order in addition to ICE’s monetary penalty. [read post]
2 May 2024, 11:07 am
Trademark Office issued the following 258 trademark registrations to persons and businesses in Indiana in April 2024 based on applications filed by Indiana trademark attorneys: Registration Number Wordmark 7361261 BCU MORTGAGE SERVICES M POWERING BANKS AND CREDIT UNIONS 7361262 BCU MORTGAGE SERVICES 7360700 OPENINSIGHTS 7370103 INDIANAMAP 7362517 AMPLIFY 7357362… [read post]
30 Dec 2013, 4:56 am
If appropriately disclosed, an investment adviser may use the soft dollar credits to pay for such expenses as brokerage and research services that benefit clients.An SEC investigation found that Instinet LLC approved soft dollar payments to San Diego-based investment advisory firm J.S. [read post]
24 Sep 2015, 3:03 pm
Esposito Securities, LLC, No. 05-14-01223-CV (Tex. [read post]
