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26 Jul 2012, 6:00 pm
We are also asking our direct customers to notify their customers of this recall. [read post]
26 Jan 2014, 6:42 pm
For more information on the recall, customers can contact the customer service line for PMI products at 1-800-332-4738. [read post]
20 Apr 2010, 3:59 pm
(Eugene Volokh) From the Complaint in Amazon.com, LLC v. [read post]
12 Jul 2017, 12:02 pm
From February 2013 until May 2015, Spolar was associated with LPL Financial LLC. [read post]
1 Jul 2019, 7:03 am
According to BrokerCheck records financial advisor Mark Kolta (Kolta), currently employed by Worden Capital Management LLC (Worden Capital) has been subject to at least 14 customer complaints and one employment termination for cause. [read post]
5 Jun 2023, 4:09 am
VIP PRODUCTS LLC (Opinion, United States Supreme Court) Agencies issue fina... [read post]
12 Feb 2022, 7:37 am
Customer Lawsuit Puts Robinhood In The News Again (BrokeAndBroker.com Blog)SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations (SEC Release)BlockFi Agrees to Pay $100 Million in Penalties and Pursue Registration of its Crypto Lending Product / Company also agrees to attempt to bring its business into compliance with the Investment Company Act of 1940 within 60 days (SEC Release) Statement on Settlement with BlockFi Lending LLC by SEC… [read post]
17 Jun 2020, 4:27 pm
FSIS routinely conducts recall effectiveness checks to verify recalling firms notify their customers of the recall and that steps are taken to make certain that the product is no longer available to consumers. [read post]
7 Jan 2013, 11:44 am
M-Edge Accessories LLC v. [read post]
24 Aug 2023, 9:41 am
The offending projectile was a "breaching" shotgun round manufactured by Safariland, LLC. [read post]
4 Nov 2016, 10:00 pm
Bob’s of Upland LLC. [read post]
10 Sep 2019, 1:56 pm
In December 2017 a customer filed a complaint alleging that Arteca misrepresented multiple life insurance and variable annuity products. [read post]
3 Aug 2020, 3:27 pm
Tempnology, LLC. [read post]
30 Jul 2020, 3:51 pm
Tempnology, LLC. [read post]
30 Jul 2020, 3:51 pm
Tempnology, LLC. [read post]
2 May 2012, 6:29 am
The firms were fined more than $7.3 million and are required to pay a total of $1.8 million in restitution to certain customers who made unsuitable leveraged and inverse ETF purchases.Brad Bennett, FINRA Executive Vice President and Chief of Enforcement, said, "The added complexity of leveraged and inverse exchange-traded products makes it essential that brokerage firms have an adequate understanding of the products and sufficiently train their sales force before the… [read post]
24 Feb 2016, 12:21 pm
Ameri-Sources International Inc., Ameri-Source Specialty Products Inc., Ameri-Source Holdings Inc., and SMC Machining LLC, all based in Pennsylvania, allegedly perpetrated the antidumping evasion from December 2009 until March 2012. [read post]
29 Oct 2012, 8:06 am
Wells Fargo Advisors, LLC (FINRA Arbitration No. 11-03911), wherein the customer asserted claims in connection with an investment in a reverse convertible note. [read post]
6 Feb 2024, 6:13 am
From January 2019 to December 2020 Lorente was associated with Great Point Capital, LLC. [read post]
3 Oct 2017, 9:10 am
Earlier this year, coffee chain Peet’s Coffee & Tea LLC was sued by a putative class comprised of all California customers who purchased subscriptions of coffee and tea from the company after February 2013. [read post]
