Search for: "SELF FINANCIAL, INC."
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8 Mar 2024, 11:31 am
Inc., Cambridge Investment Research Inc., Key Investment Services LLC, Lincoln Financial Advisors Corporation, U.S. [read post]
9 Jan 2019, 11:31 am
Next Financial Group Inc. will be purchased by Atria Solutions. [read post]
20 Jul 2021, 8:13 am
The Financial Industry Regulatory Authority (FINRA) has censured and fined Wilson-Davis, a self-clearing broker-dealer that specializes in microcap liquidation and trading, according to a letter of acceptance waiver and consent on July 16. [read post]
13 Apr 2018, 2:13 pm
Under the “Share Class Selection Disclosure Initiative,” the SEC is granting eligible Financial Advisors until June 2, 2018 to disclose and self-report any misconduct surrounding mutual fund purchases. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
13 Apr 2018, 2:13 pm
Under the “Share Class Selection Disclosure Initiative,” the SEC is granting eligible Financial Advisors until June 2, 2018 to disclose and self-report any misconduct surrounding mutual fund purchases. [read post]
20 Jul 2023, 10:45 am
SagePoint Financial Inc. [read post]
19 Aug 2015, 12:28 pm
Hercules also operates a fleet of 27 self-elevating, mobile offshore drilling units, or “jackup rigs,” and 21 self-elevating, self-propelled “liftboat” vessels. [read post]
1 May 2024, 10:16 pm
LPL Financial Holdings Inc. serves nearly 23,000 financial advisers and manages over $1.44 trillion in advisory and brokerage assets as of March 31, 2024. [read post]
22 May 2023, 10:59 am
FINRA is the self-regulator that oversees brokers and brokerage firms. [read post]
19 Oct 2009, 11:31 pm
It has been a rare opportunity to share with this forum my new paper, Treasury Inc.: How the Bailout Reshapes Corporate Theory and Practice, forthcoming with the Yale Journal on Regulation and available here. [read post]
22 Sep 2013, 8:00 pm
Through a trust, he owns 100 percent of a holding company (Groupe Bermex Inc.), which has full control over three subsidiaries operating in the furniture industry (Bermex International Inc., Finition Chez Soi Inc., and Confortec 2000 Inc.). [read post]
19 Feb 2013, 6:00 am
©2013 Amaxx Risk Solutions, Inc. [read post]
28 May 2008, 1:25 pm
Federal, state and consumer discomfort with Google Inc., Yahoo Inc. and other companies tracking consumers' online behavior could slow the growth of Internet advertising, a financial services research group said in a report. [read post]
12 Jul 2023, 1:09 pm
The physician self referral law, known as the Stark Law, prohibits referring patients to particular health seRvices with which the physician, or an immediate family member, has a financial relationship. 42 U.S.C Section 1395nn. [read post]
22 Jan 2010, 6:00 am
One award went to a 95-year-old investor who accused StockCross Financial Services Inc. and two of its brokers of misconduct and self-dealing. [read post]
11 Apr 2011, 12:41 pm
The Financial Regulatory Authority (FINRA) announced today that it has fined UBS Financial Services, Inc. $2.5 million, and ordered UBS to pay $8.25 million in restitution for omissions and statements regarding the “principal protection” feature of the 100% Principal-Protected Notes (PPNs) issued by Lehman Brothers Holdings Inc. prior to its September 2008 bankruptcy filing. [read post]
24 Oct 2022, 12:15 am
AThe Financial Industry Regulatory Authority, aka FINRA, is a non-profit Delaware corporation. [read post]
11 Mar 2019, 4:25 pm
Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned broker-dealer ProEquities Inc. for alleged mutual fund overcharges. [read post]
3 May 2012, 2:52 pm
, as well as certain data from financial filings of self-insured employers. [read post]
