Search for: "LIQUIDITY SERVICES, INC." Results 101 - 120 of 1,520
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17 Apr 2014, 7:14 am by Joy Waltemath
Under a proposed settlement agreement submitted to the court on Friday, April 11, Metlife, Inc. would pay $1.97 million to resolve class allegations that it unlawfully failed to pay California financial services representatives (FSR) their commissions, debited their accounts for company operating expenses, and neglected to pay overtime, and/or reimburse them for business expenses (Johnson v Metlife, Inc, CDCal). [read post]
4 Jun 2009, 4:34 pm
According to New Hampshire securities regulators, UBS Financial Services Inc., a unit of UBS AG, misled investors regarding complex securities that were issued by Lehman Brothers before the latter filed for bankruptcy protection in 2008. [read post]
22 Dec 2008, 5:18 pm
UBS Financial Services, Inc., UBS Securities, LLC, and Citigroup have reached finalized settlements with the Securities and Exchange Commission to pay tens of thousands of ARS investors almost $30 billion. [read post]
23 Jul 2010, 11:25 am
He also recommended unsuitable transactions on margin and unsuitable variable annuity liquidations. [read post]
30 Apr 2019, 12:26 pm by admin
Cornide Jr. has been registered with UBS Financial Services Inc. in Coral Gables, FL since May 11, 2004, FINRA reports. [read post]
11 Jan 2011, 5:03 pm by Randall Reese
 The contracts include equipment leases and services agreements with companies such as BDO USA, LLP and HKS Architects, Inc. [read post]
18 Mar 2021, 4:34 am
 In re Boulevard West, Inc., Serial No. 87692255 (March 16, 2021) [not precedential] (Opinion by Judge Cheryl S. [read post]
26 Nov 2013, 2:23 pm by Jacob Sapochnick
Cleo, Inc., 995 S.W.2d 88 (Tenn. 1999); Wojtowicz v. [read post]
25 Jul 2018, 7:28 am by Renae Lloyd
Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, Woodbury Financial Services Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a supervisory system in regards to variable… [read post]
11 Nov 2011, 7:38 am by Daniel Richardson
BrickKicker and GDM Home Services, Inc., 2011 VT 118.Let us speak honestly as one member of society to another. [read post]
28 Jul 2010, 6:49 pm
A Financial Industry Regulatory Authority arbitration panel is ordering Raymond James & Associates Inc. and Raymond James Financial Services Inc. to buy back $2.5M in auction-rate securities from an investor. [read post]
5 Oct 2022, 11:40 am by Rob Robinson
Media Release Surge PE Closes Legal Tech-Enabled Services Platform Avalon Business Wire On September 30th, 2022, Dallas-based Surge Private Equity, LLC (“Surge”) closed its 11th platform investment—Avalon Document Services, Inc. [read post]