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3 Nov 2020, 11:01 am
Vonna Kay Husby was a financial advisor at Raymond James Financial Services, Inc. in Fairbanks, Alaska, from August 2003 until May 2019. [read post]
11 Jan 2018, 4:30 pm
During the course of his career, he worked at a number of brokerage firms, including Ameriprise Financial Services, Inc. [read post]
12 Jul 2018, 4:38 am
Weiser v Citigroup, Inc. [read post]
21 Jul 2023, 8:11 am
His previous employers include Raymond James Financial Services, Inc. [read post]
29 Jan 2009, 5:00 am
When used in a social context, transparency implies openness, communication, and accountability. [read post]
29 Jan 2009, 5:00 am
When used in a social context, transparency implies openness, communication, and accountability. [read post]
8 Jun 2009, 10:24 pm
We have pointed out the potential rewards which the Internal Revenue Service offers whistleblowers who sound the alarm on tax fraud. [read post]
1 Jun 2020, 7:55 am
ISS Facility Services, Inc., Case No. 19-20258 (5th Cir. [read post]
16 Aug 2010, 10:27 am
These domain names were registered in Bride's Club's name through private registration services. [read post]
28 Sep 2021, 4:14 am
"While presenting the plan, district director of student services operations and accountability Leia Esser said that the district has an 'obligation' to protect the health of students and staff.... [read post]
25 Mar 2016, 6:54 am
Just one day after the announcement of a $1,555,000 settlement with North Memorial Health Care of Minnesota under the Health Insurance Portability and Accountability Act of 1996 (HIPAA) Privacy and Security Rules, the Department of Health & Human Services (HHS) Office of Civil Rights (OCR) announced March 17, 2016 that Feinstein Institute for Medical Research has agreed to pay $3.9 million and will undertake a substantial corrective action plan to settle charges of HIPAA… [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor… [read post]
11 Jun 2021, 5:47 am
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System (BrokeAndBroker.com Blog)CFTC Charges Former Energy Broker and Its Owner with Misappropriation of Nonpublic Information, Fraud, and Supervision Violations (CFTC Release)Las Vegas Woman Pleads Guilty To $10 Million Tech Support Fraud Scheme That Exploited The Elderly / Technical Support Scheme Deceived More Than 7,500 Victims Across the United States and Canada, Many of Whom Are Elderly, into Paying… [read post]
22 Apr 2022, 3:49 am
Financial Services Inc., Respondent (FINRA AWC)</a>Pro Se Customer Sues Robinhood But Fails To Show For Round One of FINRA Arbitration (BrokeAndBroker.com Blog)Who Opened What Type of Account Becomes a Dilemma in E*Trade Federal Court Motion (BrokeAndBroker.com Blog)After the SEC's PAUSE, We're Left Wondering Why (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6411/pause-sec-update/There is a moral hazard when the SEC publishes an increasing… [read post]
5 Jan 2016, 9:01 am
Study: Forecasting the Impacts of Silver and Bighead Carp on the Lake Erie Food Web(c)Waste Information & Management Services, Inc. [read post]
29 Apr 2013, 4:11 am
In the Matter of the FINRA Arbitration Between UBS Financial Services, Inc., Claimant/Counter-Respondent, vs. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert… [read post]
16 May 2018, 6:15 am
The Federal Circuit’s decision in Vanda Pharmaceuticals Inc. v. [read post]
6 May 2022, 2:02 pm
TD Ameritrade, Inc.... [read post]
21 Jul 2015, 8:56 am
Climate Talks Nearing Consensus in Behind-the-Scenes Meetings(c)Waste Information & Management Services, Inc. [read post]
