Search for: "ASSIST FINANCIAL SERVICES INC"
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1 May 2014, 8:40 am
Postal Inspection Service – Washington Division; Assistant Director in Charge Valerie Parlave of the Federal Bureau of Investigation’s Washington Field Office; and Acting Inspector General Fred W. [read post]
20 May 2019, 6:08 am
According to BrokerCheck records financial advisor William Hobby (Hobby), formerly employed by UBS Financial Services Inc. [read post]
2 Feb 2023, 12:22 pm
Sporn knew these laboratories would use these doctors’ orders to bill Medicare for medically unnecessary goods and services. [read post]
20 Sep 2013, 6:11 am
Bonifant The Department of Health & Human Services (HHS) released on September 19, 2013 guidance on financially remunerated prescription refill reminders. [read post]
9 Feb 2010, 11:33 am
All told, financial support for students interested in public service has increased by $2.75M this year. [read post]
14 Sep 2016, 9:13 am
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Ameriprise Financial Services, Inc. $850,000 for failing to detect the conversion of more than $370,000 from five customer brokerage accounts by one of its registered representatives. [read post]
2 Dec 2013, 5:24 pm
However, the real onus should be on financial attorneys to seek out these high-profile clients as part of providing assistance to the individuals who are in dire need of financial services. [read post]
14 Nov 2018, 6:47 am
A number of housing and financial industry trade groups, including the Mortgage Bankers Association and Real Estate Services Providers Council, Inc. [read post]
8 Feb 2017, 11:20 am
The defendants also assisted illegal debt relief practices by Morgan Drexen, Inc. and its president and chief executive officer, Walter Ledda. [read post]
19 Jul 2010, 1:30 pm
One example was the bargain made by the broker-dealer units of Ladenburg Thalmann Financial Services and National Financial Services LLC, the clearing arm of mutual fund giant Fidelity Investments. [read post]
14 Jul 2022, 7:39 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
28 Feb 2020, 5:41 am
Simms, formerly registered with Saxony Securities, Inc., MML Investor Services, Inc., and Securian Financial Services, Inc. [read post]
28 Feb 2020, 5:41 am
Simms, formerly registered with Saxony Securities, Inc., MML Investor Services, Inc., and Securian Financial Services, Inc. [read post]
1 Jun 2023, 8:17 am
(CRD# 877), also of Bakersfield, and Triquest Financial, Inc. [read post]
27 Jun 2011, 7:56 pm
Both the FBI and the United States Attorneys’ Offices assisted the Florida Department of Financial Services in the investigation to North Carolina workers’ compensation fraud. [read post]
19 May 2017, 8:43 am
Burns was permitted to resign from Ameriprise Financial Services, Inc., in 2015 for violations of company policies including unauthorized use of discretion, unauthorized trading, and inaccurate client file documentation. [read post]
20 Oct 2017, 7:07 am
On October 2, 2017, the Securities and Exchange Commission filed a complaint in the United States District Court for the Central District of California against Tweed Financial Services, Inc. [read post]
17 Oct 2014, 7:07 am
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations that some investors were placed into unsuitable closed-end bond funds. [read post]
8 May 2017, 10:29 am
Olgoonik Diversified Services confirms that OHA will broadly apply the regulatory exception to cover things such as transferred personnel, financial assistance, and bonding assistance. [read post]
7 Jan 2010, 7:50 am
The company, WCI communities, is looking for financial assistance with the rebuilding effort necessary for those whose homes contain the toxic material. [read post]
