Search for: "Action Financial Services, LLC"
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19 Jul 2021, 5:55 am
The Securities and Exchange Commission today filed a settled action against UBS Financial Services Inc. for compliance failures relating to sales of a volatility linked exchange-traded product (ETP). [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC Krize,… [read post]
8 May 2018, 8:55 am
According to FINRA Disciplinary actions for April 2018, 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 Robert Thomas Anderson Wells Fargo Advisors, LLC UBS Financial Services Inc Li-Lin Hsu Ameriprise Financial Services Transglobal Advisory, LLC Michael David Lee… [read post]
26 Nov 2019, 7:23 am
Wells Fargo Clearing Services, LLC Raymond James & Associates, Inc Soliman, Fadi IBN Financial Services, Inc Ameriprise Financial Services, Inc. [read post]
27 Jan 2012, 6:55 am
Capital Financial Services, Inc. [read post]
7 Dec 2020, 8:43 am
Turner & Company, LLC, Gunallen Financial, Inc, and Harrison Securities, Inc., which FINRA expelled in 2004. [read post]
4 Oct 2019, 5:07 am
The court’s analysis offers guideposts to financial services employers and other parties aiming to ensure approval of settlements where multiple class actions are concerned. [read post]
30 Oct 2016, 2:43 pm
In reality, Cavalry SPV I LLC is simply an affiliate of a debt collection company founded in 2002 called Cavalry Portfolio Services located in Valhalla, New York. [read post]
8 Dec 2015, 3:58 am
Strader Sr., against PHH Corporation, REALOGY Holdings Corp., PHH Mortgage Corporation, PHH Home Loans LLC, RMR Financial LLC, NE Moves Mortgage LLC, PHH Broker Partner Corporation, REALOGY GROUP LLC, REALOGY Intermediate Holdings, Title Resources Group LLC, West Coast Escrow Company, TRG Services Escrow Inc., NRT LLC, REALOGY Services Group LLC, and REALOGY Services Venture Partner LLC in… [read post]
6 Nov 2016, 12:00 pm
The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including breakaway broker services, employment matters, strategic consulting and counseling, broker litigation and arbitration,whistleblower actions, and much more. [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, 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 Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital… [read post]
8 Jul 2008, 7:27 am
An Alabama consumer has recently sued the debt buyer and debt collector Arrow Financial Services, LLC for violating the Fair Debt Collection Practices Act (FDCPA) and state law including fraud. [read post]
5 Aug 2015, 2:06 pm
Diehl has no customer disputes, but he was previously discharged from MML Investors Services, LLC in 2013 over alleged involvement in EIA sales when the firm did not permit such transactions. [read post]
3 Aug 2022, 3:08 pm
On July 29, the Federal Trade Commission (“FTC”) announced a settlement with First American Payment Systems LP, a Texas-based nationwide payment processor, and two of its sales agent affiliates, Think Point Financial LLC and Eliot Management Group LLC (collectively, “First American”), in an action alleging hidden terms, “surprise” exit fees, and charges made to merchants without their consent. [read post]
5 Apr 2023, 7:14 pm
Berthel, Fisher and Company Financial Services Inc. [read post]
27 May 2024, 2:50 am
Our client, Paula Sparkman, brought a class action against Comerica Bank and Conduent Business Services, LLC, alleging that the defendants wrongfully deny fraud claims made by consumers who receive child support payments on prepaid debit cards. [read post]
5 Dec 2016, 6:40 am
The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including breakaway broker services, employment matters, strategic consulting and counseling, broker litigation and arbitration,whistleblower actions, and much more. [read post]
12 Jan 2015, 5:00 pm
Our law firm has filed an overtime lawsuit against Spectrum Financial Services, LLC pursuant to the Federal Labors Standard Act ("FLSA"). [read post]
29 Jun 2010, 1:47 pm
Broker-dealers that sold Provident Royalties private placements Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd. $110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc. $585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc. $100,000 $2,250 Barron Moore Inc. $250,000 $96,750 Boogie Investment Group… [read post]
24 May 2021, 6:31 am
Advisor Gary Ginsberg (Ginsberg), currently employed by brokerage firm Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least four customer complaints and one regulatory action during the course of his career. [read post]
