Search for: "Independent Financial Group LLC"
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19 Mar 2012, 11:11 am
The investigation resulted in two settled enforcement actions last year against AXA Rosenberg Group LLC and Barr M. [read post]
19 Mar 2012, 3:30 am
The Independent has a short report here and the Hansard transcript is here. [read post]
28 Feb 2012, 7:12 am
Dozens of broker-dealers with independent-contractor representatives sold the Medical Capital notes and The White Law Group continues to review the liability that financial professionals and broker-dealers have for such sales. [read post]
28 Feb 2012, 7:12 am
Dozens of broker-dealers with independent-contractor representatives sold the Medical Capital notes and The White Law Group continues to review the liability that financial professionals and broker-dealers have for such sales. [read post]
27 Feb 2012, 1:16 pm
The White Law Group is all too familiar with many of the investment products on the list this year. [read post]
27 Feb 2012, 1:16 pm
” The White Law Group is all too familiar with many of the investment products on the list this year. [read post]
23 Feb 2012, 9:11 pm
Our insider says he was hired by Promontory Compliance Solutions, LLC to do work on the Independent Foreclosure Review for Wells Fargo Bank. [read post]
23 Feb 2012, 9:23 am
Unfortunately, in the absence of such a statute, the common law does not generally recognize Cyberbullying as an independent tort. [read post]
23 Feb 2012, 9:17 am
Unfortunately, in the absence of such a statute, the common law does not generally recognize Cyberbullying as an independent tort. [read post]
22 Feb 2012, 6:35 pm
Bottom Line Plus, LLC is a member of MAUI (Merchants Against Unfair Interchange), and an independent agent for Interchange Brokerage Company, serving over 2500 company locations, resulting in over $7M in savings to-date in recovery of merchant interchange fees. [read post]
14 Feb 2012, 12:39 pm
Whitman, the head portfolio manager at Whitman Capital, LLC, related to alleged insider trading. [read post]
13 Feb 2012, 9:44 am
Whitman obtained and traded on material non-public information (including earnings, revenue, and other financial information) regarding Marvell Technology Group, Ltd. which he received from Karl Motey, an independent research consultant who had obtained it from Marvell employees. [read post]
9 Feb 2012, 9:00 am
The Complaint alleged that Peregrine failed to supervise four of Peregrine’s Guaranteed Introducing Brokers (GIBs): Clash Financial, LLC, Oxford Trading Group, Inc., California Capital Trading Group, LLC, and Patriot Financial Markets, LLC. [read post]
3 Feb 2012, 8:52 am
By Eric Goldman Kinbook LLC v. [read post]
27 Jan 2012, 6:55 am
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
24 Jan 2012, 10:49 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
19 Jan 2012, 3:49 pm
Enterprise Products Holdings, LLC, 2012 WL 34442 (Del. [read post]
17 Jan 2012, 10:13 am
Medical companies, as well as group purchasing organizations (GPOs), will also have to report stock ownership and investments held by doctors. [read post]
12 Jan 2012, 7:37 am
Certainly, this is a huge step for Raymond James in the growth of its business and continues the trend of mergers and acquisitions amongst the independent broker-dealers. ****************** The White Law Group, LLC is a national securities fraud, securities arbitration, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
11 Jan 2012, 12:45 pm
Department of Labor's Occupational Safety and Health Commission to Sand Cut Properties LLC, a Danbury, Conn., contractor. [read post]
