Search for: "CAPITAL ONE FINANCIAL CORP."
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7 May 2018, 11:22 am
According to his online, public records with the Financial Industry Regulatory Authority (FINRA), Mark Gillis was previously registered with Dickinson & Co., Toluca Pacific Securities Corp, Trautman Wasserman & Company, Kimball & Cross Investment Management Corp, LaSalle Street Securities, Hudson Valley Capital Management in Croton on Hudson, New York from December 2009 until November 2012 and Westor Capital Group. [read post]
6 May 2018, 8:35 pm
” Nor was the promise of compensation later, as part of a paid contract, sufficient to constitute a financial benefit, the court explained. [read post]
27 Apr 2018, 10:44 am
Subsequently, the company disclosed the SEC probe and reported “material weaknesses” in its financial conditions. [read post]
26 Apr 2018, 6:30 am
He has two customer disputes against him and one employment separation after allegations. [read post]
18 Apr 2018, 7:31 am
The USPTO’s mission is a critical one. [read post]
10 Apr 2018, 2:40 pm
But increasing attention has been paid to indirect compliance through private intermediaries—the financial institutions that provide operating capital to enterprises. [read post]
5 Apr 2018, 7:55 pm
RADACK ROBOSIGNER REDUX: Chief of one of many courts of appeal in Texas takes swipe at 2017 CFPB enforcement action against Transworld Systems, Inc. [read post]
3 Apr 2018, 6:50 am
(TSI): Consumer Financial Protection Bureau v. [read post]
31 Mar 2018, 10:42 am
He has two regulatory matters against him, one of which is pending, and two judgments/liens. [read post]
27 Mar 2018, 9:22 am
Werbel was previously registered with Cigna Financial Advisors, FSC Securities Corp, LPL Financial, Summit Brokerage Services, and Concorde Investment Services in Chagrin Falls, Ohio from April 2015 until January 2016. [read post]
26 Mar 2018, 10:18 am
Edwards, Anchor National Financial Services, SunAmerica Securities, Merrill Lynch, LM Financial Partners, Raymond James, USAllianz Securities, Questar Capital Corp in Bismarck, North Dakota from December 2006 until August 2010, Woodbury Financial Services in Bismarck from August 2010 until December 2012 and Questar Capital Corp in Bismarck from December 2012 until December 2015. [read post]
16 Mar 2018, 7:37 am
According to FINRA BrokerCheck, Wanner was registered at Questar Captial Corp., doing DBA Precision Financial Services in Bismark, ND, from December 2012 until December 2015 when he was reportedly fired following a cease and desist order issued by the North Dakota Securities Department. [read post]
11 Mar 2018, 6:42 am
Nevertheless, MuckRock reporter Nathanael King made a valiant effort to find out whatever he could about these investigations in Texas, a state once described by the Dallas Voice as the “Prison Rape Capital of the U.S. [read post]
6 Mar 2018, 9:21 am
Most recently he worked for Voya Financial Advisors, Ameriprise Financial Services and Investors Capital Corp. [read post]
6 Mar 2018, 8:13 am
Wells Fargo Advisors, LLC Joesph Francis Valdini Aegis Capital Corp. [read post]
5 Mar 2018, 1:29 pm
He is currently registered with National Securities Corp in South Norwalk, Connecticut, and has been since April 2009. [read post]
19 Feb 2018, 3:22 am
Park Ave Rest Corp., 46 Misc 3d 670 [Sup Ct Kings County Oct. 28, 2014] [read post]
14 Feb 2018, 2:57 pm
CalPERS was not one of the named plaintiffs in the class action. [read post]
7 Feb 2018, 8:30 am
The company, a shale driller founded by the late U.S. fracking pioneer Aubrey McClendon, is one of several energy companies McClendon launched after he was kicked out in 2013 during a corporate governance crisis from Chesapeake Energy Corp, which he had founded and built into one of the largest U.S. shale drillers. [read post]
30 Jan 2018, 12:55 pm
Peregoy was registered with Investors Capital Corp. [read post]
