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10 Mar 2021, 1:32 pm
Cindy Porto Chiellini was in the employment of Centaurus Financial Inc. when she allegedly carried out the various activities being disputed in the customer disputes. [read post]
4 Mar 2021, 9:59 am
(aka SunTrust Investment Services, Inc.), a retiree in Latin America is seeking up to $500K in damages. [read post]
1 Mar 2021, 7:13 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against broker Megurditch Patatian (aka Mike Patatian) alleging that, while associated with Western International Securities, Inc., Mr. [read post]
17 Feb 2021, 9:22 am
The post VALIC Financial Advisors (aka AIG Retirement Services) Settles With FINRA Following Investigation Into Variable Annuity Practices appeared first on Securities Arbitration Lawyers Blog. [read post]
4 Feb 2021, 2:10 pm
Lawdiva aka Georgialee Lang **This article was originally published by The Lawyer’s Daily ( thelawyersdaily.ca ) a division of Lexis Nexis Canada [read post]
2 Feb 2021, 8:26 am
His previous employers include Guardian Investor Services Corporation (CRD#:6635 of New York, New York, SMA Equities, Inc. [read post]
18 Jan 2021, 8:45 am
Edward Matthes (Edward Earl Matthes CRD:# 2788055, aka “Ed Matthes”) is a former registered broker and investment advisor whose last known employer was Mutual Of Omaha Investor Services, Inc. [read post]
5 Jan 2021, 8:23 am
(CRD#:15007) of Melville, NY, and Gunnallen Financial, Inc (CRD#:17609) of New York, NY. [read post]
5 Jan 2021, 6:56 am
(CRD#:15708), Transamerica Financial Advisors, Inc (CRD#:16164) and Oneamerica Securities, Inc. [read post]
30 Dec 2020, 1:47 pm
VSL Pharmaceuticals, Inc., No. [read post]
29 Dec 2020, 12:04 pm
Previous employers include Ameriprise Financial Services, Inc. [read post]
23 Dec 2020, 1:17 pm
The client also generally alleged inadequate due diligence, fraud, negligence, breach of fiduciary duty and failure to supervise and First Allied Securities, Inc. was the employing firm. [read post]
23 Dec 2020, 1:17 pm
The client also generally alleged inadequate due diligence, fraud, negligence, breach of fiduciary duty and failure to supervise and First Allied Securities, Inc. was the employing firm. [read post]
12 Dec 2020, 12:00 pm
Lawdiva aka Georgialee Lang [read post]
24 Nov 2020, 9:30 am
He was previously employed by Ameriprise Advisor Services, Inc. [read post]
6 Nov 2020, 7:08 am
Domestic Irish legislation does however provide for a very broad range of exemptions from the withholding tax including: (a) interest paid by an Irish company to an Irish authorised credit institution or EEA authorised credit institution providing its commitment through an Irish branch, (b) interest paid to a company which is resident for tax purposes in certain EU member states or jurisdictions with which Ireland has a double tax treaty (Ireland has entered into 74 double tax treaties), provided… [read post]
29 Oct 2020, 1:09 pm
Arcona, Inc. v. [read post]
23 Oct 2020, 11:17 am
The Goldman Sachs Group Inc. and its Malaysian subsidiary have admitted to conspiring to violate the Foreign Corrupt Practices Act (FCPA) by engaging in a scheme to pay more than $1.6 billion in bribes to foreign officials in exchange for lucrative contracts. [read post]
16 Oct 2020, 4:45 am
Three of these member firms are now expelled by FINRA (Benson York Group, INC, Brookville Capital Partners, and Legend Securities, INC.) [read post]
16 Oct 2020, 4:45 am
Three of these member firms are now expelled by FINRA (Benson York Group, INC, Brookville Capital Partners, and Legend Securities, INC.) [read post]
