Search for: "A&B Financial Group, Inc."
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16 Jan 2014, 4:01 pm
Here, the Claimants alleged no financial loss. [read post]
28 Jun 2012, 3:38 pm
The Financial Industry Regulatory Authority says that it is fining Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8M in the wake of certain alleged supervisory failures that the SRO says led to the financial firm billing clients unwarranted fees. [read post]
20 May 2020, 11:58 am
If you owned CPI Aerostructures, Inc. [read post]
30 Dec 2010, 7:40 pm
(Attachments: # (1) Notice # (2) Exhibit A (Victor Declaration)# (3) Exhibit B (Engagement Letter)# (4) Exhibit C (Proposed Order))Application to Employ/Retain Huron Consulting Group, Consultants to the Debtors as Dalton T. [read post]
19 Aug 2012, 1:20 pm
Recent Activity on Segregated Funds It has been a busy couple of months for rules affecting segregated funds: • July 9: The NFA brought an emergency action against Peregrine Financial Group, Inc. [read post]
21 Mar 2015, 6:26 am
(“HI”), nXn Partners, LLC (“nXnP”), IP Navigation Group, LLC (“IPNav”), J. [read post]
9 Jun 2023, 12:54 pm
According to his FINRA BrokerCheck report, Benjamin was reportedly affiliated with the following firms during his career: 07/29/2020 – 04/12/2022, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
19 Sep 2018, 1:26 pm
From June 1996 to January 1997, Goodman was registered with the G.M.S Group, Inc. [read post]
15 Sep 2023, 6:38 am
Legal and Regulatory Developments SPOTLIGHT: The CFPB Eyes Tech Firms’ Role in Governing Tap-To-PayDigital Transactions News – September 8, 2023 The Consumer Financial Protection Bureau late Thursday released a report raising questions about the part restrictions imposed by big technology firms like Apple Inc. and Alphabet Inc’s Google subsidiary may play in hampering innovation, consumer choice, and the growth of open and decentralized banking and… [read post]
18 Dec 2017, 2:06 pm
From August 2004 until January 2015 Azad was associated with Voya Financial Adivsors, Inc. [read post]
1 Aug 2023, 11:44 am
According to his FINRA broker report, Billy Stanage has been affiliated with the following firms during his career in the securities industry, including the following: 12/04/2019 – 03/07/2023, COMMONWEALTH FINANCIAL NETWORK (CRD#:8032), Rio Rancho, NM, B, 12/08/2016 – 11/29/2019, SECURITIES AMERICA, INC. [read post]
8 Jun 2022, 11:39 am
The two clients, Sequential Brands Group, Inc. [read post]
20 Nov 2023, 11:12 am
” ( CBS NEWS , STATE NET) Remote Work Good for Companies’ Top Line Businesses that have let their employees work remotely in recent years have experienced four times more revenue growth than companies that have been less flexible about office attendance, according to a study by Scoop Technologies Inc. and Boston Consulting Group. [read post]
8 Dec 2023, 11:11 am
(CRD#:17499), PANAMA CITY, FL B, 04/07/2010 – 01/07/2013, HANCOCK INVESTMENT SERVICES, INC. [read post]
19 Dec 2007, 12:20 pm
Defendant:Accusearch, Inc. d/b/a Abika.com, and Jay Patel (Wyoming) Judgment: FTC obtained a summary judgment in September; court has yet to determine what injunctive and equitable relief is appropriate. [read post]
9 Jun 2012, 7:29 pm
” Janus Capital Group Inc. v. [read post]
30 Jan 2023, 7:13 am
According to his FINRA Broker Report, Turner was affiliated with the following firms during his career, 09/24/2021 – 02/07/2022, STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793), WACO, TX, B, 03/08/1996 – 10/12/2021, UBS FINANCIAL SERVICES INC. [read post]
9 May 2013, 3:31 am
Human Medical Plans, Inc. [read post]
13 Apr 2018, 12:18 pm
FINRA Fines Park Avenue Securities $300,000 over Variable Annuity Sales According to a Letter of Acceptance, Waiver & Consent, The Financial Industry Regulatory Authority Inc. has censured Park Avenue Securities and fined the firm $300,000 for problems in its supervision of variable annuity sales. [read post]
18 Jul 2018, 11:46 am
DOJ’s press release stated: Southern SNF Management, Inc., Rehab Services in Motion d/b/a Dynamic Rehab and nine affiliated skilled nursing facilities in Florida and Alabama have agreed to resolve allegations that they violated the False Claims Act by submitting or causing the submission of false claims to Medicare for medically unnecessary rehabilitation therapy services, the Department of Justice announced today. [read post]
