Search for: "Discover Financial Services LLC"
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7 Jan 2012, 3:13 pm
The other financial firms, ranking in the order that follows, are Charles Schwab, TD Ameritrade, Etrade, Fidelity Brokerage Services, WellsTrade (Wells Fargo), Merrill Edge/Bank of America, and Morgan Stanley Smith Barney LLC. [read post]
21 Mar 2016, 3:28 am
Soon afterward Bonanni discovered that the other three members had been paid their monthly distributions but that his share was not paid. [read post]
25 Oct 2022, 11:26 am
On October 18, 2022, the New York State Department of Financial Services (“NYDFS”) announced that EyeMed Vision Care LLC (“EyeMed”) agreed to a $4.5 million settlement for violations of the Cybersecurity Regulation (23 NYCRR Part 500) that contributed to the exposure of hundreds of thousands of consumers’ health data in connection with a cybersecurity event in 2020. [read post]
5 Jan 2021, 11:32 am
LPL Financial discharged Engelmann on 11/29/2019 after discovering that he twice violated the firm’s policy regarding borrowing money from clients. [read post]
8 Jan 2009, 10:13 am
Boyd Page, Senior Partner of Page Perry, LLC. [read post]
7 Mar 2022, 8:22 am
CRD#: 6084258) is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LLC (CRD#:6363) of Vienna, VA. [read post]
4 May 2011, 11:13 am
New Cingular Wireless Services, Inc., 498 F. 3d 976, 990 (CA9 2007)). [read post]
24 Jun 2020, 6:29 am
Hoffman’s Expulsion from FINRA Hoffman worked as a broker for Ameriprise Financial Services, LLC, for three years starting in 2016. [read post]
24 Jun 2020, 6:29 am
Hoffman’s Expulsion from FINRA Hoffman worked as a broker for Ameriprise Financial Services, LLC, for three years starting in 2016. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
20 Aug 2021, 2:00 am
© 2021 Morgan Stanley Smith Barney LLC. [read post]
20 Aug 2021, 2:00 am
© 2021 Morgan Stanley Smith Barney LLC. [read post]
28 Jan 2016, 1:33 pm
The FINRA report highlighted specific cases that do little to bolster the public’s confidence in the financial services industry. [read post]
13 May 2017, 8:36 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Babyak (Babyak), formerly associated with brokerage firms LPL Financial LLC (LPL) and Leigh Baldwin & Co., LLC (Leigh Baldwin). [read post]
11 May 2018, 7:22 am
But after his apparent suicide in 1932, it was discovered that Kreuger had engaged in fraudulent accounting practices to overvalue his holdings and had been paying out dividends in excess of his earnings using newly invested money, a practice akin to a Ponzi scheme. [read post]
6 Aug 2019, 2:58 pm
In October 2007, he registered his business as CEO-Sports in New Jersey, then formed another LLC in Pennsylvania, MGMT LLC. [read post]
5 Jul 2022, 1:39 pm
In Construction Financial Administration Services, LLC v. [read post]
27 Sep 2022, 9:05 am
His previous employers include Nationwide Securities, LLC (CRD# 11173) of Elbridge, NY, 1717 Capital Management Company (CRD# 4082) and MML Investors Services, Inc. [read post]
27 Jan 2021, 11:22 am
After Ameriprise discovered her misconduct and fired her, Hsu founded American Capital Trading Group LLC and American Capital Republic, Inc., where she sought out and defrauded additional investors. [read post]
31 Dec 2007, 5:30 am
A petition for dissolution of a business corporation requires service upon the state tax commission and publication notice of the order to show cause in advance of the hearing, but no such service or publication is required in a proceeding for judicial dissolution of a limited liability company (LLC).Here’s another. [read post]
