Search for: "Security Administrative Services, LLC"
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28 Sep 2023, 12:16 pm
The Securities and Exchange Commission (SEC) has taken significant action against Bruderman Asset Management, now known as Gary Goldberg Planning Services, LLC (BAM), and its founder, Matthew J. [read post]
18 Sep 2020, 3:00 am
Our Maryland Social Security disability lawyers at the Law Offices of Steinhardt, Siskind and Lieberman, LLC can explain the details and eligibility rules, so please contact our firm for more information. [read post]
24 Jan 2020, 3:00 am
Fortunately, there are benefits available under a program administered by the Social Security Administration (SSA). [read post]
28 Jul 2022, 9:51 am
Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. [read post]
6 Jun 2022, 10:55 am
SEC Charges AlphaCentric Advisors LLC with Compliance Violations Relating to Valuation of Mutual Fund Assets According to an administrative announcement on Jun. 3, 2022, the Securities and Exchange Commission has reportedly settled charges against Puerto Rico-based registered investment adviser AlphaCentric Advisors LLC for compliance violations in its role as adviser to the AlphaCentric Income Opportunities Fund. [read post]
25 Jun 2018, 2:23 pm
They came to be viewed not as endowing accidental and anticompetitive monopolies on the fortunate few but as a procompetitive means to secure to individuals the fruits of their labor and ingenuity; encourage others to emulate them; and promote public access to new technologies that would not otherwise exist. [read post]
21 Sep 2023, 8:00 am
SSC Montrose San Juan Operating Co., LLC and SavaSeniorCare Administrative Services LLC, d/b/a The San Juan Living Center, Civil Action No. 20-cv-03162), seeking monetary damages and equitable relief.In addition to the monetary compensation, SAVA has agreed to modify its employment related policies and practices so that its employees can “properly care for and report residents who engage in hostile behavior or unwelcome sexual behavior. [read post]
21 Sep 2023, 8:00 am
SSC Montrose San Juan Operating Co., LLC and SavaSeniorCare Administrative Services LLC, d/b/a The San Juan Living Center, Civil Action No. 20-cv-03162), seeking monetary damages and equitable relief.In addition to the monetary compensation, SAVA has agreed to modify its employment related policies and practices so that its employees can “properly care for and report residents who engage in hostile behavior or unwelcome sexual behavior. [read post]
29 Jun 2012, 9:05 pm
The SEC has filed securities charges against Harbinger Capital Partners LLC and its owner Philip A. [read post]
18 Feb 2016, 10:00 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
31 Oct 2011, 1:55 pm
Last week the Financial Services Committee of the U.S. [read post]
4 Dec 2023, 4:58 am
” GF’s business support services to the new LLC was expanded to provide “all related business administration matters that GF otherwise provides for its other employees. [read post]
10 Feb 2012, 2:45 pm
If you need help making sure your business complies with this law, or any other requirement, please contact Waltz, Palmer & Dawson, LLC at (847)253-8800. [read post]
15 Aug 2012, 8:25 am
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC ("Wells Fargo") and Shawn McMurty of Minnesota, the former vice-president of its Institutional Brokerage and Sales Division, have agreed to settle charges by the Securities and Exchange Commission ("SEC") relating to the sales of certain asset-backed commercial paper investments to certain institutional customers, including municipalities and non-profit… [read post]
6 Jun 2016, 5:40 am
Garcia Forest Service, LLC, ARB No. 14-052, ALJ No. 2011-SCA-2 (ARB Apr. 8, 2016) Final Decision and Order PDF Rudolph v. [read post]
25 Feb 2011, 1:02 am
Stamer has counseled, represented and trained employers and other employee benefit plan sponsors, plan administrators and fiduciaries, insurers and financial services providers, third party administrators, human resources and employee benefit information technology vendors and others privacy and data security, fiduciary responsibility, plan design and administration and other compliance, risk management and operations matters. [read post]
10 Nov 2015, 1:38 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:In a recent SEC administrative proceeding, Scott Doak, of Xenia, Ohio agreed to settle charges that he had committed securities and advisor fraud.Doak was an emergency room physician before becoming a wealth advisor. [read post]
7 Oct 2015, 7:55 am
Turner & Company, LLC, Grayson Financial, LLC, M.S. [read post]
19 Jun 2020, 3:00 am
Consult with a Maryland Social Security Disability Attorney About Your Situation For answers to additional questions and personalized advice, please contact the Maryland Social Security disability lawyers at the Law Offices of Steinhardt, Siskind and Lieberman, LLC. [read post]
28 Nov 2010, 10:44 pm
Subsequently, the servicer of their $110 million in secured debt - CW Capital Asset Management, LLC - received relief from the automatic stay and foreclosed on all of the debtors' assets. [read post]
