Search for: "Suspensions, LLC"
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19 Jun 2010, 8:03 pm
To be clear, even though this suspension involves the DEA, no arrests have been made. [read post]
23 May 2023, 3:11 pm
appeared first on Futeral & Nelson LLC. [read post]
30 Jan 2018, 12:06 pm
Today, the Texas State Securities Board (TSSB) announced in a Disciplinary Order the suspension of Jason Anderson, a broker from Beaumont, Texas formerly working in the last two years with each of LPL, Kovack Securities, IFS Securities, and since March of 2017, was seeking registration as an investment adviser with IFS Advisory, LLC (later withdrawn), and then went on to seek registration as an investment adviser with Financial Management Services of America, LLC. [read post]
30 Jan 2018, 12:06 pm
Today, the Texas State Securities Board (TSSB) announced in a Disciplinary Order the suspension of Jason Anderson, a broker from Beaumont, Texas formerly working in the last two years with each of LPL, Kovack Securities, IFS Securities, and since March of 2017, was seeking registration as an investment adviser with IFS Advisory, LLC (later withdrawn), and then went on to seek registration as an investment adviser with Financial Management Services of America, LLC. [read post]
9 Dec 2016, 8:11 am
Donnarumma neither admitted nor denied the charges but consented to a 2 years suspension and fine of $20,000 for his alleged improprieties. [read post]
28 Oct 2020, 6:32 am
Advisors, LLC. is currently facing a one-year suspension of her investment advisor license in connection with the sale of unsuitable and unregistered alternative investments. [read post]
15 Oct 2009, 12:53 pm
James Gildea issued Order No. 6: Suspension of Procedural Schedule in Certain Collaborative System Products and Components Thereof (Inv. [read post]
20 Aug 2021, 2:28 pm
Hajra consented to the suspension after FINRA alleged that, while associated with Wells Fargo Clearing Services, LLC in Marietta, GA, Mr. [read post]
13 Apr 2015, 8:20 am
Latvian Connection, LLC, wished to compete for the award. [read post]
29 Dec 2017, 1:12 pm
Baines Bradshaw & Smith LLC, 2017 WL 6554588 (Tex. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman,… [read post]
20 Apr 2015, 12:10 pm
The sole issue is whether the trial court properly granted summary judgment in favor of the defendant on the ground that the plaintiff had failed to provide any evidence that causally connected her suspension and termination to the filing of her workers’ compensation claim. [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor Sues… [read post]
15 Nov 2019, 2:35 am
Wells Fargo Clearing Services LLC, Respondent (FINRA Arbitration Decision)SEC Seeks Order Requiring Colorado Witness to Comply with Subpoena for Testimo... [read post]
22 Jul 2022, 5:28 am
---The attorneys at Sallah Astarita & Cox, LLC have been representing firms and brokers in FINRA disciplinary proceedings for decades. [read post]
3 May 2024, 11:49 am
Morgan Securities LLC (CRD#:79) of Brewster, NY, and Wells Fargo Advisors, LLC (CRD#:19616) of Chappaqua, NY. [read post]
13 May 2013, 8:51 am
Michael Vang of Fleener & Vang LLC, Laramie, Wyoming.Representing Appellee: Gregory A. [read post]
11 Jun 2009, 8:05 pm
Gofit, LLC, CV 09-03828 SJO (C.D. [read post]
1 Sep 2021, 8:54 am
Mengel Dairy Farms LLC arose out of a dispute over coverage between two commercial dairy farmers who manage and care for more than 1,000 cows across farms in Pennsylvania and Ohio, and their business interruption insurer, Hastings Mutual Insurance Co., which insured the farmers’ cows against a number of unlikely […] [read post]
6 Nov 2018, 7:17 am
Even if full reinstatement of your driver’s license is not possible, the Law Office of Patricia Magana, LLC can help you apply for a MDDP or a RDP. [read post]
