Search for: "Action Financial Services, LLC"
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23 Feb 2024, 1:54 pm
This is particularly important in derivative actions, where the details of business operations and financials can be complex and pivotal. [read post]
23 Feb 2024, 11:06 am
FINRA BrokerCheck Report – Gary Chang According to this FINRA BrokerCheck report, Gary Chang (CRD #2922898) was affiliated with the following firms during his career, among others: 02/02/2016 – 08/09/2022, MORGAN STANLEY (CRD#:149777), Cupertino, CA, B, 02/13/2013 – 01/08/2016, CETERA INVESTMENT SERVICES LLC (CRD#:15340), MILLBRAE, CA The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials… [read post]
22 Feb 2024, 10:00 am
These risks can take a financial toll through lawsuits or bankruptcy. [read post]
22 Feb 2024, 10:00 am
These risks can take a financial toll through lawsuits or bankruptcy. [read post]
21 Feb 2024, 7:45 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
20 Feb 2024, 12:58 pm
This experience spans various types of litigation matters, including shareholder, owner, LLC member, and partnership disputes, trade secret theft, copyright and trademark infringement, business fraud, non-compete agreements, restrictive covenants, and defense against class action suits. [read post]
20 Feb 2024, 10:02 am
Indirect Financial Incentives. [read post]
13 Feb 2024, 6:00 am
(We have twice covered the consumer class action, here and here.) [read post]
12 Feb 2024, 6:07 am
February 2, 2024), a single participant, purportedly on behalf of 130,000 workers at J&J, filed a seventy-five page class action complaint on February 2, 2024 alleging that the Pension and Benefits Committee of Johnson and Johnson Salary Medical VEBA plan and related health plans mismanaged prescription-drug benefits in the health plan for company employees. [read post]
11 Feb 2024, 8:55 am
According to BrokerCheck, Baron has 11 disclosures on his record including two regulatory actions, two financial disclosures, one employment termination, and six customer complaints. [read post]
8 Feb 2024, 7:47 am
The federal H-2B visa program permits U.S. employers to temporarily hire nonimmigrants to perform nonagricultural labor or services. [read post]
6 Feb 2024, 1:36 pm
Some Actions for Now. [read post]
6 Feb 2024, 7:12 am
Sleepy’s LLC and mattress delivery drivers reached a proposed $4.5 million class action settlement after nearly 14 years of litigation in an independent contractor misclassification action under New Jersey law. [read post]
5 Feb 2024, 10:06 am
In the following guest post, Anne Catapano, VP Financial Lines Claims, Ascot Insurance Company, Christina Errico, VP, Professional Liability Claims Manager, Ascot Insurance Company, Elan Kandel, Member, Bailey Cavalieri LLC, James Talbert, Associate, Bailey Cavalieri LLC and Tyler Hopkins, Associate, Bailey Cavalieri LLC, review the past year’s key management and professional liability insurance coverage decisions. [read post]
4 Feb 2024, 7:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Sandberg (Sanberg), currently associated with Ameriprise Financial Services, LLC (Ameriprise), has been subject to ten customer complaints and one regulatory action during his career. [read post]
1 Feb 2024, 6:19 pm
West Virginia based Ole Jose Grill & Cantina LLC, paid $167,000 in back pay and penalties to 17 tipped employees after the U.S. [read post]
1 Feb 2024, 1:34 pm
According to FINRA Disciplinary actions for January 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Scott Reed First Financial Equity Corporation Wells Fargo Clearing Services, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted… [read post]
1 Feb 2024, 11:55 am
Morgan Securities LLC Wells Fargo Clearing Services, LLC Stalin Cruz SW Financial Windsor Street Capital, L.P. [read post]
1 Feb 2024, 9:08 am
First, fine art serves as excellent collateral for loan servicing. [read post]
31 Jan 2024, 8:17 am
Recent Enforcement Actions by OFAC In November of 2023, OFAC announced a $206,213 settlement with financial services firm Swift Prepaid Solutions, Inc. d/b/a daVinci Payments (DaVinci) to resolve its potential civil liability arising from 12,391 pre-paid cards issued to customers in sanctioned jurisdictions.[2] DaVinci provides payment reward card programs for clients, typically as part of loyalty, award or promotional incentive for employees, customers or… [read post]
