Search for: "Transaction Secure, LLC"
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8 Jan 2019, 7:32 am
David John Volpe Allegedly Violated LPL Financial’s Private Securities Transactions Policy for Purported Involvement in Capital-raising Efforts David Volpe was discharged by LPL Financial LLC for alleged violation of LPL’s private securities transactions policy, according to an employment separation report under review by investor rights attorney Alan Rosca. [read post]
5 Jul 2023, 12:52 pm
The White Law Group reviews the regulatory history of Hightower Securities LLC. [read post]
29 Jul 2019, 12:27 pm
John Marion Hopper Allegedly Discussed an Unapproved Private Securities Transaction with Investors; Hopper Permitted to Resign by Cambridge Investment in Henrico, VA John Marion Hopper allegedly discussed an unapproved private securities transaction with investors, according to an Employment Separation After Allegations Disclosure filed on Hopper’s FINRA BrokerCheck Report which is currently under review by investor rights attorney Alan Rosca. [read post]
29 Jul 2019, 12:27 pm
John Marion Hopper Allegedly Discussed an Unapproved Private Securities Transaction with Investors; Hopper Permitted to Resign by Cambridge Investment in Henrico, VA John Marion Hopper allegedly discussed an unapproved private securities transaction with investors, according to an Employment Separation After Allegations Disclosure filed on Hopper’s FINRA BrokerCheck Report which is currently under review by investor rights attorney Alan Rosca. [read post]
9 Oct 2019, 7:00 am
Indianapolis, Indiana – Attorneys for Plaintiff, Transaction Secure, LLC (“Transaction”) a foreign limited liability company, filed suit in the Southern District of Indiana alleging that Defendant, Formstack, LLC (“Formstack”) of Fishers, Indiana, infringed its rights in United States Patent No. 8,738,921 (the “‘921 Patent”) for “System and Method for Authenticating a Person’s Identity Using a… [read post]
28 Jun 2010, 11:43 am
Failure to recognize that the deal involves a sale of securities may render the whole transaction invalid and in violation of securities laws. [read post]
12 Jun 2018, 6:53 am
Lauderdale, Florida, was terminated for cause by MML concerning allegations that he engaged in private securities transactions. [read post]
27 Jun 2023, 5:35 am
The White Law Group reviews the regulatory history of JP Morgan Securities LLC. [read post]
23 May 2023, 12:41 pm
It covers a wide range of activities, including the solicitation, sale, and execution of securities transactions, as well as the handling of customer accounts and the dissemination of investment recommendations. [read post]
5 Nov 2021, 10:11 am
FINRA has barred former AXA Advisors, LLC broker Edgar Kleydman from the securities industry. [read post]
23 Jun 2017, 10:48 am
The post Santander Securities LLC Censured and Fined appeared first on White Securities Law. [read post]
23 Jun 2017, 10:48 am
The post Santander Securities LLC Censured and Fined appeared first on White Securities Law. [read post]
16 Jan 2017, 6:47 am
In July 2016, Cetera Advisors LLC (Cetera) discharged Balser for cause alleging that Balser engaged in private securities transactions. [read post]
9 Nov 2017, 2:46 pm
(Girard Securities) based on allegations that McMurray violated the firm’s policy on selling away and private securities transactions. [read post]
31 May 2017, 6:08 am
The providing of loans, selling of promissory notes, or recommending investments outside of the firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”. [read post]
14 Jun 2017, 7:52 am
The providing of loans, selling of promissory notes, or recommending investments outside of the firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”. [read post]
26 May 2021, 1:38 pm
FINRA has fined UnionBanc Investment Services, LLC (“UBIS”) $100,000 over supervisory violations related to variable annuity transactions and exchanges. [read post]
11 Jun 2018, 10:59 am
FINRA’s allegations concern private securities transactions– a practice known in the industry as “selling away” – is a serious violation of the securities laws. [read post]
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [read post]
15 Nov 2016, 3:32 pm
The FINRA regulatory matter concerns an investigation surrounding alleged sales of private securities transactions. [read post]
