Search for: "Executive Financial Services, Inc."
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27 Nov 2019, 11:06 am
A federal judge on Tuesday partially overturned convictions against high-level executives of Insys Therapeutics Inc. [read post]
19 Dec 2014, 2:44 pm
The Financial Industry Regulatory Authority (FINRA) filed a complaint against brokerage firm SWS Financial Services, Inc. [read post]
17 Sep 2022, 9:15 am
Ungerleider, Candidate for FINRA 2022 Small Firm Member of the National Adjudicatory Council / FINRA and We Have Skin in the Game (BrokeAndBroker.com Blog)Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)FINRA Fines and Suspends Former Rep for Non-disclosure of Misdemeanor Theft ChargeIn the Matter of Jimmie Scott Griffea, Respondent (FINRA AWC)FINRA Censures and Fines IBN Financial Services, Inc. for OBA… [read post]
6 Jan 2020, 2:12 pm
In July 2019, the Financial Industry Regulatory Authority (FINRA), suspended Linda Zara (a/k/a Linda Zaramontoya) (CRD# 2322009) of Summit Brokerage Services, Inc. in Boca Raton for “borrow[ing] $44,292 from a 94 year old member firm customer without providing prior notice to, or obtaining prior written approval from her firm. [read post]
2 Sep 2021, 12:18 pm
The Guidance was intended to set regulatory expectations for financial institutions offering Internet-based financial services to both commercial and consumer customers. [read post]
18 May 2018, 12:50 pm
The Financial services company has admitted that a mistake was made, which caused the revenue share rebates not to be paid. [read post]
23 Feb 2012, 2:13 pm
Thrivent is a faith-based, not-for-profit financial services organization with approximately 2.6 million members. [read post]
4 Jun 2024, 5:50 am
In a recent legal development, spinal device manufacturer Innovasis Inc. along with two of its top executives, Brent Felix and Garth Felix, have agreed to pay $12 million to resolve allegations that they violated the False Claims Act. [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]
6 Apr 2012, 7:14 pm
In other FINRA-related news, Berthel, Fisher & Company Financial Services, Inc. registered principal Marsha Ann Hill has been suspended from associating with any Financial Industry Regulatory Authority member for a year. [read post]
3 Feb 2015, 5:17 pm
News release: “Attorney General Eric Holder announced today that the Department of Justice and 19 states and the District of Columbia have entered into a $1.375 billion settlement agreement with the rating agency Standard & Poor’s Financial Services LLC, along with its parent corporation McGraw Hill Financial Inc., to resolve allegations that S&P had engaged in a scheme to defraud investors in structured financial products known as… [read post]
20 May 2009, 9:17 am
--(BUSINESS WIRE)--US Investigations Services, Inc. [read post]
4 Dec 2009, 4:43 pm
Black, and two of his fellow executives at Hollinger International, Inc. [read post]
23 Nov 2010, 5:00 am
Miller, 58, has extensive executive, financial and governance experience as a founder, significant shareholder, executive officer and director of both start-up companies and large public companies. [read post]
22 Oct 2015, 8:43 am
Medifast Inc., an Owings Mills-based provider of weight management products and services, will announce financial results for the third quarter ended Sept. 30 on Nov. 5 after market close. [read post]
24 Jun 2015, 2:40 pm
On June 22, 2015, the Financial Industry Regulatory Authority, Inc. [read post]
5 Aug 2019, 7:56 am
About Navigant Navigant Consulting, Inc. [read post]
9 Mar 2021, 5:20 am
In its second lawsuit filed under Acting Director Uejio, the CFPB alleges that BrightSpeed Solutions, Inc. and its founder and former chief executive officer violated the Consumer Financial Protection Act and the Telemarketing Sales Rule by processing payments for companies engaged in internet-based technical-support fraud. [read post]
3 Oct 2013, 7:10 am
” According to the Caribbean News, the statement of claim names: “UBS Financial Services Inc.; UBS Bank USA; UBS financial consultants and investment executives José M. [read post]
20 Mar 2012, 6:23 am
The Financial Industry Regulatory Authority (FINRA) has fined Citi International Financial Services, LLC ("Citi"), a subsidiary of Citigroup, Inc., $600,000 and ordered it to pay $648,000 in restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
