Search for: "Principal Financial Services, Inc. "
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11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
16 Feb 2016, 12:06 pm
Doucet and Margie Doucet (collectively “Claimants”) $307,000 for losses stemming from investments in direct participation programs (“DPPs”) involving non-traded real estate investment trusts (“REITs”), promissory note programs, master limited partnerships (“MLPs”) and private oil drilling programs offered by VSR Financial Services, Inc. [read post]
9 Oct 2007, 12:40 pm
The NASD imposed a $200,000 fine against EKN Financial Services Inc. and levied sanctions against the firm's CEO, President, Head Trader and Financial and Operations Principal for improper short selling in connection with three unregistered PIPE securities offerings. [read post]
6 Apr 2012, 7:14 pm
In other FINRA-related news, Berthel, Fisher & Company Financial Services, Inc. registered principal Marsha Ann Hill has been suspended from associating with any Financial Industry Regulatory Authority member for a year. [read post]
16 Apr 2010, 8:10 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded damages to the Marcus family and their affiliated profit sharing and retirement plans as a result of losses sustained in so-called Lehman principal protected structured notes sold to them by UBS Financial Services, Inc. [read post]
19 May 2009, 6:27 am
., Ameriprise Financial Inc., Hartford Financial Services Group Inc., Lincoln National Corp., Principal Financial Group Inc., and Prudential Financial Inc.Ameriprise has already turned down the government’s offer and, according to industry reports, Prudential is also expected to turn down TARP funds. [read post]
28 Sep 2011, 1:28 pm
Blum & Silver, LLP is pursuing claims against National Financial Services, LLC (“NFS”) for investors who lost money investing over $100 million in more than 20 unregistered debt offerings sold by McGinn, Smith & Co., Inc., (“McGinn Smith”) and other entities under its ownership or control. [read post]
30 Jul 2012, 11:14 am
The receiver is claiming in the suit that NRP Financial Inc. [read post]
19 Dec 2014, 2:44 pm
The Financial Industry Regulatory Authority (FINRA) filed a complaint against brokerage firm SWS Financial Services, Inc. [read post]
27 Jan 2012, 6:55 am
Capital Financial Services, Inc. [read post]
16 Oct 2013, 6:17 am
Sunset has its principal offices in Kansas City, Missouri and is wholly-owned by Kansas City Life Insurance Company, Inc., an insurance company. [read post]
7 Mar 2014, 7:40 am
The Financial Industry Regulatory Authority (FINRA) fined SAL Financial Services, Inc. dba Sterne Agee Financial Services, Inc. [read post]
28 Jun 2017, 10:48 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has awarded two investors $793,000 in their Puerto Rico municipal bond fraud case against UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR). [read post]
15 Jun 2011, 7:11 am
In one of the largest dollar awards to date in a Lehman note case against UBS Financial Services Inc., a Financial Industry Regulatory Authority (FINRA) arbitration panel [read post]
29 Jul 2010, 6:54 am
Principal's career agents sell Principal products, which include a wide range of financial products and services. [read post]
9 Dec 2009, 3:19 pm
In an arbitration case that could affect numerous cases that are still pending, a Financial Industry Regulation Authority panel awarded a small investor $200,000 after finding that a UBS Financial Services broker acted inappropriately when he sold high-risk Lehman Brothers Holdings Inc. principal-protected notes to the claimant. [read post]
Texas Securities Fraud: Commodity Futures & Options Service, Inc. is Permanently Barred from the NFA
1 May 2010, 9:18 pm
Commodity Futures & Options Service, Inc., a Houston-based introducing broker, has been permanently barred from the National Futures Association. [read post]
27 Mar 2014, 5:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and fined Hantz Financial Services, Inc. [read post]
23 Sep 2013, 12:21 pm
The Financial Industry Regulatory Authority (FINRA), VSR Financial Services, Inc. [read post]
