Search for: "Affiliated Financial Group, Inc."
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28 Nov 2023, 10:19 am
FINRA BrokerCheck Report – Hector Hernandez According to this FINRA BrokerCheck report, Hector Hernandez was affiliated with the following firms during his career, among others: 12/22/2021 – 04/08/2022, PEAK BROKERAGE SERVICES, LLC (CRD#:157045), San Antonio, TX, B, 07/18/2012 – 12/17/2021, MONEY CONCEPTS CAPITAL CORP (CRD#:12963), Shavano Park, TXB, 10/09/2008 – 07/06/2012, NEXT FINANCIAL GROUP, INC. [read post]
27 Nov 2023, 8:22 am
FINRA BrokerCheck Report – Christopher Kennedy According to this FINRA BrokerCheck report, Christopher Kennedy was affiliated with the following firms during his career, among others: 12/02/2019 – 09/27/2021, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
20 Nov 2023, 4:21 am
In Ryoo v Five Senses Korean Bbq, Inc., a 26.7% shareholder sought under BCL 624 to compel production of a broad swath of financial records maintained by the Corporation ([Sup Ct, NY County 2023]). [read post]
15 Nov 2023, 8:55 am
FINRA BrokerCheck Report – John Fagan According to this FINRA BrokerCheck report, John Fagan was affiliated with the following firms during his career, among others: B, 11/11/2011 – 12/31/2021, RAYMOND JAMES & ASSOCIATES, INC. [read post]
15 Nov 2023, 6:26 am
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies. [read post]
14 Nov 2023, 9:01 pm
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies, the second highest amount in SEC history, after the record-setting financial remedies ordered in fiscal year 2022. [read post]
13 Nov 2023, 9:05 pm
”[19]The Interpretive Guidance states that the Council expects to “continue addressing most risks through its collaboration with primary financial regulators” and will base any nonbank financial company designation on “data-driven analysis that reflects the distinctive aspects of the company, its market, and its existing regulation. [read post]
10 Nov 2023, 7:44 am
(CRD#:127724), CANTON, OH, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
10 Nov 2023, 7:01 am
Previous employers include Ameriprise Financial Services, Inc. [read post]
6 Nov 2023, 11:00 am
(CRD#:15296), Southfield, MIB, 07/31/2003 – 09/08/2016, VALIC FINANCIAL ADVISORS, INC. [read post]
2 Nov 2023, 6:55 am
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]
1 Nov 2023, 12:38 pm
FINRA BrokerCheck Report – Rodney Ferruso According to this FINRA BrokerCheck report, Rodney Ferruso was affiliated with the following firms during his career, among others:11/02/2018 – 08/30/2022, ROYAL ALLIANCE ASSOCIATES, INC. [read post]
29 Oct 2023, 11:26 am
AOL Time Warner, Inc., 261 F. [read post]
22 Oct 2023, 9:01 pm
Moab Partners According to the investor-plaintiffs who initially brought the underlying case, Macquarie Infrastructure Corporation (“MIC”)—a publicly traded global financial group that owns and operates a portfolio of infrastructure-related businesses—failed to sufficiently disclose the impact of prospective international maritime regulations on No. 6 oil, which was handled and stored in bulk by an affiliate of MIC, International-Matex Tank… [read post]
17 Oct 2023, 10:23 am
According to his FINRA BrokerCheck report, Lesk was reportedly affiliated with the following firms during his career in the securities industry, among others: 09/01/2022 – 10/05/2023, CAMBRIDGE INVESTMENT RESEARCH, INC. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC company order | SEC CFO complaint SEC settles assets recovery and impairment loss disclosure claims In the Matter of Future FinTech Group Inc. [read post]
25 Sep 2023, 9:03 am
Carey, Inc. [read post]
11 Sep 2023, 1:58 pm
See Record $16M Anthem HIPAA Settlement Signals Need To Tighten HIPAA Compliance & Risk Management In January, 2021, OCR announced New York health insurer, Excellus Health Plan, Inc., would pay $5.1 million to settle potential HIPAA violations related to a breach affecting over 9.3 million people. [read post]
11 Sep 2023, 2:36 am
Merges with Affiliated REITs Cottonwood Communities Inc. completed its mergers with Cottonwood Multifamily REIT I Inc. and Cottonwood Multifamily REIT II Inc, according to filings with the SEC on July 20, 2021. [read post]
5 Sep 2023, 4:02 am
George is also the Chief Operating Officer and Chief Financial Officer of Theoris Group, Inc., a professional services firm headquartered in Indianapolis, Indiana that provides engineering and information technology solutions. [read post]
