Search for: "LINCOLN FINANCIAL ADVISORS CORPORATION"
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17 Oct 2011, 7:07 pm
No regulations of derivatives in financial reform. [read post]
29 Apr 2011, 12:58 pm
A Financial Industry Regulatory Authority arbitration panel says that Lincoln Financial Advisors Corporation must pay the Wright Family Trust $1.6M over securities claims related to investments that were made in a number of funds. [read post]
11 Apr 2011, 11:13 am
Comparative LawKJE2448 .D67 2009European corporate law / Adriaan Dorresteijn ... [read post]
25 Feb 2011, 5:00 am
FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial Securities and Lincoln Financial Advisors for Failure to Protect Confidential Customer Information Securities and Exchange Commission (SEC) and FINRA rules require every broker-dealer to adopt written policies and procedures that address safeguards for the protection of customer records and information. [read post]
25 Feb 2011, 5:00 am
FINRA Imposes Fines Totaling $600,000 Against Lincoln Financial Securities and Lincoln Financial Advisors for Failure to Protect Confidential Customer Information Securities and Exchange Commission (SEC) and FINRA rules require every broker-dealer to adopt written policies and procedures that address safeguards for the protection of customer records and information. [read post]
17 Feb 2011, 1:12 pm
(LFS) and $150,000 against an affiliated firm, Lincoln Financial Advisors Corporation (LFA), for failure to adequately protect non-public customer information. [read post]
27 Dec 2010, 12:31 pm
Lincoln Financial Securities and Premier Advisor Group LLC are not affiliated entities. [read post]
24 May 2010, 2:14 am
Blanche Lincoln, requiring financial firms to separate derivatives trading from banking operations and even spin them off under certain circumstances. [read post]
1 May 2010, 1:39 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in April 2010: Heriberto Americo Artiga Sr. of Sylmar, California, formerly with Lincoln Financial Securities Corporation in Downey, California, was barred from association with any FINRA member in any capacity for engaging in private securities transactions involving the sale… [read post]
1 May 2010, 12:39 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in April 2010: Heriberto Americo Artiga Sr. of Sylmar, California, formerly with Lincoln Financial Securities Corporation in Downey, California, was barred from association with any FINRA member in any capacity for engaging in private securities transactions involving the sale… [read post]
12 Nov 2009, 1:12 am
He later managed to become a key advisor to Napoleon, until they fell out over policy. [read post]
31 Oct 2009, 4:06 pm
In a strongly worded order issued last week, a district judge overturned a 2008 state ruling that granted the authority permission to tap groundwater from three valleys in central Lincoln County. [read post]
10 Aug 2009, 8:00 am
Gilchrist, Senior Advisor to NYS Governor David A. [read post]
