Search for: "Mutual Securities, Inc."
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27 Mar 2017, 9:00 am
On March 8, 207, the Securities and Exchange Commission (“SEC”) issued an Order Instituting Administrative and Cease-and-Desist Proceedings (“Order”) against Voya Financial Advisors, Inc. [read post]
18 May 2017, 7:41 am
On May 10, 2017, the Securities and Exchange Commission (“SEC”) issued an Order Instituting Administrative and Cease-and-Desist Proceedings (“Order”) against Barclays Capital Inc. [read post]
8 May 2020, 12:02 pm
Dorraine was last registered with Next Financial Group, Inc. [read post]
26 Apr 2012, 4:30 am
In this action, a federal court retained jurisdiction on a verified petition finding that the petitioner was not entitled to the securities exception under CAFA when its claim does not entirely depend on a mutual securities agreement, but rather requires other sources of law for its evaluation. [read post]
15 Mar 2016, 2:28 pm
Inc., 344 Md. 434 (1997). [read post]
28 Jun 2012, 9:57 am
In the first class action over 401(k) fees to be tried and decided on its merits, a Missouri federal district court ruled in March that manufacturer ABB Inc. breached its Employee Retirement Income Security Act (ERISA) fiduciary duties — and must pay $35.2 million to the plaintiff class for (1) failing to monitor the recordkeeping fees and revenue-sharing payments made to the plan’s trust company, (2) failing to negotiate rebates to offset or reduce the cost of… [read post]
9 Nov 2021, 6:32 am
(CRD#:25803) and Transamerica Financial Advisors, Inc. [read post]
10 Jan 2018, 4:40 pm
Woodley Citizens Securities, Inc. [read post]
16 Oct 2019, 10:38 am
Advisor Jeffrey Davis (Davis), currently employed by Kovack Securities Inc. [read post]
4 May 2012, 1:06 pm
Forethought Financial Group, a privately-owned Houston based firm, is bringing more annuities business to Texas with its purchase of The Hartford Financial Services Group Inc. [read post]
30 Mar 2010, 10:06 am
S. 471, 482, and shareholder suits under §36(b) are mutually reinforcing but independent mechanisms for con-trolling adviser conflicts of interest, see Daily Income Fund, Inc. v. [read post]
27 Aug 2010, 5:34 am
In Northstar Financial Advisors, Inc. v. [read post]
24 Mar 2020, 4:01 pm
The North American Securities Administrators Association, Inc. [read post]
21 May 2018, 10:10 am
Summit Healthcare REIT, Inc., a Maryland corporation, invests in and owns real estate and is considered a real estate investment trust. [read post]
7 Feb 2018, 11:58 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
16 Sep 2020, 7:37 am
Securities and Exchange Commission (SEC) charged VALIC Financial Advisors Inc. [read post]
14 Oct 2008, 12:54 pm
Prudential says the operating results will include $700 million in charges, including: - $325 million to $375 million in charges for pretax losses on investments in securities issued by Lehman Brothers Holding Corp., New York; American International Group Inc., New York; and Washington Mutual Inc., Seattle [read post]
12 Apr 2019, 8:28 am
Morgan Stanley Delaney, Glen Newbridge Securities Corp Craig Scott Capital, LLC Flaningan, Joel NYLife Securities LLC Synergy Investment Services, LLC Hovermale, Jeffrey Sovereign Legacy Securities, Inc Family Income Planning, Inc Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie O’Neal,… [read post]
6 Mar 2018, 8:13 am
Woodley Citizens Securities, Inc. [read post]
7 Oct 2021, 2:05 pm
(CRD#:14251), also of Elmsford, Metropolitan Life Insurance Company (CRD#:4095) of Iselin, New Jersey, and Metlife Securities Inc. [read post]
