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18 Jan 2021, 8:45 am
The Securities and Exchange Commission issued a judgment and an injunction against Matthes on 1/28/2020. [read post]
13 Apr 2021, 6:26 am
Jonathan Ebel, a financial advisor currently employed at Network 1 Financial Securities, Inc. [read post]
18 Feb 2016, 12:09 pm
The SEC Order characterized the payments as bribes, and noted that the company failed to devise and maintain a system of accounting controls. [read post]
14 Aug 2015, 8:38 am
According to the CRD 13 judgement/liens, 5 customer disputes, 2 investigations and 1 regulatory disclosures have been reported against him. [read post]
5 Sep 2010, 7:55 am
September 1, 2010): 1. [read post]
5 Nov 2021, 3:36 pm
Int’l, Inc. v. [read post]
8 Mar 2021, 7:05 am
In November 2020, the account had 1+ million followers. [read post]
22 Dec 2008, 2:03 pm
If a bank account has a negative balance resulting from paying overdrafts and overdraft fees, the bank cannot apply a future direct deposit of Social Security or V.A. benefits to make up the deficit balance owed to the bank.The court analyzed Sections 407(a) and 1383(d)(1) of 42 U.S.C., which prohibit creditors from reaching Social Security or SSI benefits by levies, garnishments, or "other legal process," and decided that these sections do not allow a bank to apply a… [read post]
4 Mar 2011, 9:17 am
On March 1, the U.S. [read post]
26 Jan 2008, 12:41 pm
Aluminum Casting & Engineering Co., Inc. (30-CA-12855, et al.; 352 NLRB No. 1) Milwaukee, WI Jan. 18, 2008. [read post]
28 Jan 2019, 9:39 am
(CRD #7278), Westrock Advisors, Inc. [read post]
4 Aug 2009, 2:34 pm
Related Web Resources: FINRA Fines NEXT Financial Group $1 Million for Supervisory Failures That Led to Churning of Customer Accounts, Excessive Commissions, FINRA, July 22, 2009 NEXT fined $1 million for churning accounts, Chron.com, July 22, 2009 [read post]
14 Nov 2011, 8:32 am
Inc. and Morgan Stanley Smith Barney LLC $1 million and ordered $371,000 in restitution and interest to customers for excessive markups and markdowns charged to customers on corporate and municipal bond transactions, and related supervision violations. [read post]
19 Feb 2017, 12:14 pm
Its “T” share, for client accounts that pay commissions, will initially cost $25 per share. [read post]
22 Aug 2023, 4:54 am
The post Case Review – 1936230 Ontario Inc. v. [read post]
11 Mar 2021, 8:48 am
Vimeo, Inc., Docket No. 20-616 (2d Cir. [read post]
27 Jan 2011, 2:29 pm
Loving Care Agency, Inc. [read post]
18 Dec 2006, 12:29 pm
In a reverse merger in July 1999, a publicly registered shell company called World House Entertainment issued 1 million shares of restricted common stock to acquire all of the outstanding common and issued stock of 800America Inc. [read post]
25 Aug 2015, 8:24 am
From July 1, 2013 to June 30, 2014, Adams excessively traded and churned two of his clients’ accounts, resulting in losses of approximately $37,000 and commissions of approximately $57,000. [read post]
3 Aug 2011, 8:14 am
The court found that Gaum had acted with malice, oppression and fraud, and added that defendant Bluenose "possesses sufficient assets . . . and derives sufficient income to support punitive damages in an amount equal to the actual damages and that a multiplier of 1 to 1 is entirely appropriate and reasonable. [read post]
