Search for: "California Financial Group, Inc."
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5 Jul 2017, 1:32 pm
Since the beginning of 2010 broker John Hudson (Hudson), currently employed by Next Financial Group, Inc. [read post]
6 Apr 2020, 2:41 pm
Even before the COVID-19 pandemic, businesses around the world had been bracing for the financial and operational impact of the new California Consumers Privacy Act (“CCPA”), which took effect January 1, 2020. [read post]
18 Sep 2023, 8:00 am
Judge Dale Drozd of the Eastern District of California recently brought at least some clarity to authority that in the past has allowed for only a murky, muddled understanding of how courts may handle issues of financial conflicts of interest and procedural irregularities in the context of ERISA disability claims, in Chacko v. [read post]
8 Dec 2020, 7:07 am
Silver Law Group also has several arbitration claims pending against Coastal Equities, Inc. and broker Luke Johnson of Scottsdale, Arizona regarding GPB and other illiquid investments such as real estate investment trusts (REITS). [read post]
7 Nov 2011, 6:37 pm
In 2005 a European investment group acquired control of Elephant Talk. [read post]
27 Sep 2011, 1:29 pm
American Trucking Associations, Inc. [read post]
14 Feb 2020, 9:40 am
SEC Reportedly Charges Criterion Wealth Management Insurance Services with Allegedly Defrauding Clients According to the Securities and Exchange Commission this week, the regulator charged Criterion Wealth Management Insurance Services, Inc., a Santa Clarita, California, investment advisory firm, and its then co-owners for allegedly defrauding their advisory clients. [read post]
18 Feb 2020, 9:40 am
SEC Reportedly Charges Criterion Wealth Management Insurance Services with Allegedly Defrauding Clients According to the Securities and Exchange Commission this week, the regulator charged Criterion Wealth Management Insurance Services, Inc., a Santa Clarita, California, investment advisory firm, and its then co-owners for allegedly defrauding their advisory clients. [read post]
12 Nov 2015, 5:30 am
©2014 Amaxx Risk Solutions, Inc. [read post]
3 May 2017, 3:00 am
Western Southern Financial Group Inc.; Chiodi] A request from blogger Coyote: he’s looking to interview folks who run 10-40 employee firms [details] “Massachusetts is just one of six states that prohibit employers from donating to candidates while allowing unions to donate,” and the only one that prohibits employers from administering a PAC [Paul Craney and James Manley, Commonwealth Magazine] California voters sought to fix gerrymandering… [read post]
9 Dec 2008, 9:43 pm
Dollar Financial Group, Inc. (2008) 162 Cal.App.4th 1193, the courts distinguished Alvarez, holding, among other things, that a narrower class can be certified later, even if a larger putative class had earlier been denied certification. [read post]
16 Jan 2012, 4:42 pm
Jeffrey Alan Smith with Accelerated Capital Group in Irvine, California, was suspended from association with any FINRA member in any principal capacity for 20 business days in connection with a finding by FINRA that Smith failed to effectively supervise the activities of the firm's associated persons. [read post]
1 Jun 2022, 1:44 pm
The White Law Group announces the filing of FINRA Lawsuit involving High Risk Non-Traded REITs and BDCs The White Law Group announces the filing of a FINRA Arbitration claim submitted on behalf of a California resident, alleging violation of common law fraud, breach of fiduciary duty, negligence, and negligent supervision. [read post]
24 Nov 2010, 10:32 am
Occidental Financial Group. [read post]
20 Nov 2017, 12:08 pm
FINRA Censures First Allied Securities for Mutual Fund Sales charge waivers According to the Financial Industry Regulatory Authority, First Allied Securities, Inc. [read post]
24 Mar 2022, 12:04 pm
Actavis, Inc., 570 U.S. 136 (2013), which held that such payments are unlawful when they are “large and unjustified. [read post]
3 Jun 2022, 7:18 am
The White Law Group submitted a claim to FINRA Dispute Resolution on behalf of a California family, alleging claims for violation of common law fraud, breach of fiduciary duty, negligence, and negligent supervision. [read post]
23 Nov 2015, 5:17 pm
Merced Campus Collaborative: Lend Lease (US) Investments, Inc., Macquarie Capital Group Ltd., and ACC OP Development LLC. [read post]
2 Aug 2010, 6:34 am
The defendants Moody’s Corp., Moody’s Investors Service, Inc., The McGraw-Hill Companies, Inc., and Fitch, Inc., Fitch Group, Inc., and Fitch Ratings, Ltd. [read post]
8 Sep 2010, 7:21 am
A jury awarded a whopping $677 million verdict against Skilled Healthcare Group, Inc. [read post]
