Search for: "Financial Recovery Services Inc"
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11 Nov 2011, 10:03 am
Inc., and its subsidiary Morgan Stanley Smith Barney LLC, have been fined $1 million and censured by the Financial Industry Regulatory Authority, or FINRA, for excessive markups and markdowns that were charged to customers on corporate and municipal bond transactions. [read post]
9 Nov 2011, 6:59 am
Circuit Court of Appeals partially vacated a judgment of the court below with the result that a married couple from Illinois can pursue suitability and other claims against Ameriprise Financial Services Inc., the defendant below. [read post]
7 Nov 2011, 11:36 am
Postal Inspection Service in Chicago; and Robert D Grant, special agent-in-charge of the Chicago office of the FBI. [read post]
6 Nov 2011, 1:04 pm
The bank said Quinn Emanuel Urquhart & Sullivan should be removed because the partner had defended Merrill Lynch & Co. and its First Franklin Financial Corp. unit against similar charges that they made and sold defective mortgage loan. [read post]
4 Nov 2011, 1:42 am
“We were told that the Servicers selected the independent reviewers and will be paying them. [read post]
2 Nov 2011, 5:32 pm
©2011 Amaxx Risk Solutions, Inc. [read post]
2 Nov 2011, 1:34 pm
The alleged conspiracy involved FirstPlus Financial Group Inc., a publicly held company in Texas. [read post]
31 Oct 2011, 1:55 pm
Last week the Financial Services Committee of the U.S. [read post]
30 Oct 2011, 2:47 pm
It is always important to rely on experienced forensic accountants to assist the insured in this dry process.J&K Body Shop, Inc. v. [read post]
30 Oct 2011, 9:50 am
©2011 Amaxx Risk Solutions, Inc. [read post]
21 Oct 2011, 2:03 pm
Thereafter he was registered in the same capacity with Banc of America Investment Services, Inc. for a short time. [read post]
20 Oct 2011, 1:01 pm
Danek Medical, Inc., 520 S.E.2d 88, 92 (N.C. [read post]
20 Oct 2011, 7:17 am
Well-known broker-dealer GunnAllen Financial Inc. closed in March 2010 after failing to meet FINRAand#39;s net-capital, and Okoboji Financial Services Inc., another big name, filed forms with FINRA to exit the business in July 2010. [read post]
17 Oct 2011, 1:38 pm
UBS Financial Services Inc. has agreed to settle charges brought by the Financial Industry Regulatory Authority, or FINRA, alleging that UBS failed to supervise a stockbroker who stood on both sides of multiple municipal bond trades to and from his customersandrsquo; retail accounts. [read post]
14 Oct 2011, 12:51 pm
After the Financial Industry Regulatory Authority, or FINRA, found that Raymond James Financial Services Inc. had charged excessive commissions in about 13,500 customer accounts due to a failure to supervise, the firm agreed to pay more than $750,000 plus interest to the customers, as well as a $200,000 fine. [read post]
12 Oct 2011, 8:18 am
Aon Risk Services, Inc. of Minnesota, 356 F.3d 850 (8th Cir. 2004). [read post]
11 Oct 2011, 10:24 am
Marie stayed home from work for 12 weeks to provide Susan with physical care during her injury and recovery. [read post]
10 Oct 2011, 1:10 pm
May pleaded guilty in April to 59 counts of mail fraud stemming from his decade-long investment scheme, the same Ponzi scheme that helped bring about the demise of broker dealer GunnAllen Financial Inc. last year. [read post]
9 Oct 2011, 12:22 pm
Postal Service, 546 U.S. 481, 486, 126 S.Ct. 1252, 163 L.Ed.2d 1079 (2006). [read post]
7 Oct 2011, 7:56 am
The civil suit accused the company, which is 41 percent owned by Goldman Sachs Group Inc. [read post]
