Search for: "Security Financial Fund LLC"
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30 Dec 2019, 5:47 am
Advisor Jeffrey Dixson (Dixson), currently employed by Madison Avenue Securities, LLC (Madison Avenue) has been subject to at least seven customer complaints and one regulatory action during the course of his career. [read post]
26 Dec 2019, 9:03 am
From September 2004 until November 2015 Zhou was assoaicted with Farmers Financial Sollutions, LLC. [read post]
26 Dec 2019, 9:02 am
From June 2019 until August 2019 Netzel was registered with Madison Avenue Securities, LLC out of the firm’s Sun Lakes, Arizona office location. [read post]
26 Dec 2019, 6:52 am
Year M&A+I Events (Running Listing: November 2001 – Today) eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 20-Dec-19KLDiscovery (Merger)Pivotal Acquisition Corporation (Merger) 25-Nov-19ObserveITProofpoint$225,000,000 20-Nov-19Active Navigation (Investee)Series A Funding (Mobeus)$11,000,000 11-Nov-19CarboniteOpenText$1.42B - Note: Announced - Not Closed 1-Nov-19Nexem Legal (Data Management and Managed Review… [read post]
24 Dec 2019, 9:12 am
Shimson Plotkin (CRD: 2431863) is a currently registered broker and investment advisor who is currently employed with Independent Financial Group, LLC (CRD#: 7717) of Chevy Chase, MD. [read post]
20 Dec 2019, 6:10 am
Guest, Wachtell, Lipton, Rosen & Katz, on Saturday, December 14, 2019 Tags: Banks, FDIC, Financial institutions, Financial regulation, Mergers & acquisitions Together but Separate: Private Equity Funds Liability for Portfolio Company Pension Obligations Posted by Rick Giovannelli and Ali U. [read post]
19 Dec 2019, 10:13 am
Maughan exercised de facto control over the trust account and made all investment decisions in it, including what securities to buy and sell, the quantities of the securities to buy and sell and when each transaction would occur. [read post]
19 Dec 2019, 1:31 am
Prior to this allegation, Timothy Johnson was a registered broker with MML Investors Services LLC, a FINRA member firm. [read post]
19 Dec 2019, 1:31 am
Prior to this allegation, Timothy Johnson was a registered broker with MML Investors Services LLC, a FINRA member firm. [read post]
17 Dec 2019, 1:47 pm
Kerker entered the securities industry in 1985. [read post]
16 Dec 2019, 7:31 am
According to BrokerCheck records, Stokes is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial). [read post]
15 Dec 2019, 10:12 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 Franklin, Tennessee. [read post]
12 Dec 2019, 2:40 pm
Specifically, the settlements would obligate McDonald USA, LLC to collect the funds ordered to fund the Settlement Fund from the Franchisees and deposit them with the NLRB as well as to issue a Special Notice if a Franchisee, within 9 months of approval of its settlement agreement, breaches its settlement agreement obligations by discharging, reducing hours or suspending a worker or engaging in other prohibited conduct like that alleged in the complaint. [read post]
12 Dec 2019, 6:56 am
In Principle Solutions Group, LLC v. [read post]
12 Dec 2019, 1:58 am
We can help you put a plan in place that helps you successfully pass your business on to the next generation and ensures that you have a financially secure retirement. [read post]
11 Dec 2019, 10:11 am
According to filings with the SEC, Ocean Fund LTD is a hedge fund operated by Infinity Capital Advisors, LLC and has approximately $70.7 million in assets. [read post]
10 Dec 2019, 7:59 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 Franklin, Tennessee. [read post]
10 Dec 2019, 7:01 am
People pay premiums into the Social Security fund through deductions from income, so they can receive benefits during their lifetime. [read post]
9 Dec 2019, 3:51 am
Lester Burroughs was Discharged from Employment of Lincoln Investment Planning, LLC Lester Burroughs was discharged from his employer, Lincoln Investment Planning LLC on December 6, 2019, when they became aware of the charges filed by the United States Securities and Exchange Commission and United States Attorney’s Office wherein Burroughs plead guilty to one count of wire fraud in the sale of fictitious insurance contracts to four individuals, FINRA states. [read post]
9 Dec 2019, 3:51 am
Lester Burroughs was Discharged from Employment of Lincoln Investment Planning, LLC Lester Burroughs was discharged from his employer, Lincoln Investment Planning LLC on December 6, 2019, when they became aware of the charges filed by the United States Securities and Exchange Commission and United States Attorney’s Office wherein Burroughs plead guilty to one count of wire fraud in the sale of fictitious insurance contracts to four individuals, FINRA states. [read post]
