Search for: "Security Financial Fund LLC"
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9 May 2008, 8:02 am
Louis, MO - The law firm of Carey & Danis LLC has filed a class action lawsuit on behalf of persons who purchased auction rate securities from UBS AG (NYSE: UBS), UBS Securities LLC and UBS Financial Services Inc. between May 8, 2003 and Feb. 13, 2008 and who continued to hold the securities as of Feb. 13, 2008. [read post]
26 Oct 2018, 3:00 am
On top of your difficult circumstances, being unable to work puts you in a serious financial situation. [read post]
20 Feb 2009, 7:40 am
Finally, many closed-end mutual funds that issued auction rate-securities have suffered serious setbacks in the markets adversely impacting their financial wherewithal. [read post]
9 Feb 2016, 9:09 am
From June 2006 until January 2011, McPherson was associated with Sammons Securities Company, LLC. [read post]
9 Apr 2021, 10:05 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor David Hirons (Hirons), currently employed by Wedbush Securities Inc. [read post]
3 Dec 2021, 7:27 am
Health care in the United States is governed by well-known federal statutes such as the Employee Retirement Income Security Act (ERISA), the Health Insurance Portability and Accountability Act (HIPAA) and the Consolidated Omnibus Budget Reconciliation Act (COBRA). [read post]
19 Sep 2013, 12:04 pm
The underwriters for the PABs are JP Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc. and Estrada Hinojosa & Company, Inc. [read post]
14 May 2020, 7:28 am
According to BrokerCheck records, LaBelle was formerly registered with FINRA member firm LPL Financial LLC (LPL Financial). [read post]
3 Aug 2020, 6:36 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Arthur Hoffman (Hoffman) has been accused by a financial regulator of engaging in the fraudulent sale of securities among other allegations. [read post]
3 Jun 2022, 6:06 am
Parker, LLC can help. [read post]
6 Sep 2023, 9:01 pm
The incentives aggravated by this funding plan make it even harder for real concerns about monetary, security, and privacy costs to be taken seriously.[3] The funding proposal we are considering today—the latest effort by the CAT LLC to fund past and future expenses—employs an apparently plausible approach to allocating CAT costs. [read post]
17 Jul 2010, 8:52 am
On June 14, the Securities and Exchange Commission (SEC) charged Wegener and his companies - Wealth Resources, Inc. and Wealth Resources, LLC - with defrauding investors out of at least $6.5 million. [read post]
19 Apr 2022, 11:38 am
In response to the complaint filed by Opportunity Financial, LLC (OppFi) seeking to block the California Department of Financial Protection and Innovation (DFPI) from applying California usury law to loans made through OppFi’s partnership with FinWise Bank (Bank), the DFPI has filed a cross-complaint seeking to enjoin OppFi from collecting on the loans and to have the loans declared void. [read post]
19 Apr 2019, 7:48 am
The Securities and Exchange Commission today announced that Prosper Funding LLC will pay a $3 million penalty for miscalculating and materially overstating annualized net returns to retail and other investors.San Francisco-based Prosper is a marketplace lender that, through its website, offers and sells securities linked to the performance of its consumer credit loans. [read post]
4 Jul 2018, 11:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James and Lorraine Conaway (Conaway), formerly associated with USA Financial Securities Corporation (USA Financial) in Tustin, California was terminated by his firm concerning allegations of failure to comply with firm advertising and outside business activity (OBA) procedures, participating in financial transactions with securities clients, and… [read post]
3 Jun 2013, 10:36 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 Boca Raton, Florida. [read post]
21 Sep 2018, 3:25 pm
Horowitz was employed by Lincoln Financial Securities Corporation (Lincoln Financial) until August 2018. [read post]
7 Nov 2009, 7:50 am
When the funds began to experience obvious financial problems, the SEC alleges that Slowey continued to make false statements to investors. [read post]
13 Dec 2011, 1:39 pm
Malarz and Lin (who was at the time a registered representative at LPL Financial Corporation), allegedly solicited investors to invest in Malarz Equity Investments, LLC and Malarz Equity Investment, Inc., which were purportedly in the business of converting apartments to condominiums, and then selling condominium units to purchasers. [read post]
6 Aug 2012, 2:41 pm
The nonprofit then issued the rest of the funds—$234 million—as ARS, which are at the center of the case. [read post]
