Search for: "Check Security Associates, LLC"
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2 Nov 2020, 9:17 am
On October 27, the North American Securities Administrators Association[1] held its 2020 symposium on Fintech and Cybersecurity. [read post]
15 May 2020, 7:44 pm
The registered series are mostly for the purpose of uniform commercial code secured financing transactions where the series need to be considered “registered organizations” to secure the financing. [read post]
12 Aug 2020, 10:51 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 Franklin, Tennessee. [read post]
7 Dec 2023, 2:06 pm
His previous employers include LPL Financial LLC (CRD# 6413), also of Coral Springs, Invest Financial Corporation (CRD# 12984) of Fort Lauderdale, and Middlebury Securities LLC(CRD#122602) of Boca Raton. [read post]
18 Feb 2019, 2:34 pm
John Reed Stark In a February 14, 2019 order, Southern District of California Judge Gonzalo Curiel entered an order reversing his earlier decision on the same issue and concluding that the digital tokens offered by cryptocurrency company Blockvest LLC represented “securities” within the meaning of the federal securities laws. [read post]
19 Nov 2009, 11:07 pm
Watch Systems LLC of Louisiana handles the mail notifications for about 70 of Ohio's 88 counties and the e-mail notifications for all counties, said Bob Cornwell, head of the Buckeye State Sheriffs' Association. [read post]
7 Oct 2015, 7:26 am
From 2002, until August 2008, Gillis was associated with Wachovia Securities, LLC. [read post]
13 Apr 2019, 12:39 pm
From August 1992 until October 2013 Grant was associated with NYLife Securities LLC. [read post]
23 Nov 2016, 1:26 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael DiGaetano (DiGaetano) currently associated with Independent Financial Group, LLC (Independent Financial) alleging unsuitable investments, misrepresentations, fraud, negligence, breach of contract, and breach of fiduciary duty among other claims. [read post]
7 Oct 2021, 12:18 pm
He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. [read post]
8 May 2012, 2:30 pm
Meeting Street Brokerage, LLC Melhado, Flynn & Associates, Inc. [read post]
13 Nov 2015, 7:27 am
From September 2005 until February 2007, Fowler was associated with American Capital Partners, LLC. [read post]
1 Jul 2011, 2:00 am
The case is styled as Credit Suisse Securities (USA) LLC v. [read post]
22 Jan 2021, 11:28 am
Brokers have also been known to write themselves checks or wire funds from a customer’s account. [read post]
27 Jan 2010, 3:52 am
Mark Mitchell has described Byrne as a "business associate. [read post]
27 May 2017, 7:49 am
Dorion also does business as Dorion Associates. [read post]
10 Nov 2023, 7:29 am
He assisted the client in transferring funds from her brokerage account to her checking account. [read post]
3 Oct 2010, 5:00 am
Partners, LLC v. [read post]
24 Apr 2009, 6:45 am
Securities and Exchange Commission ("SEC") censured Hennessee Group LLC and Charles J. [read post]
30 Nov 2015, 6:44 am
Since November 2009 onward Vincent has been associated with Madison Avenue Securities, LLC. out of the firm’s Houston, Texas branch office location. [read post]
