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25 Jan 2010, 5:00 am
Rev. 2550, 2550 (June 2001).AlabamaEx parte Household Retail Services, Inc., 744 So.2d 871, 880 n. 2 (Ala. 1999); Ex parte Exxon Corp., 725 So.2d 930, 933 n.3 (Ala. 1998).AlaskaWe didn’t find anything useful along these lines under Alaska law.ArizonaOsuna v. [read post]
11 May 2018, 7:22 am
Miller ran the so-called Franklin Syndicate, using as his motto Ben Franklin’s quote: “The way to wealth is as plain as the road to market. [read post]
1 Jul 2011, 8:09 am
(“Teletrack”), a consumer reporting agency that sells consumer reports and other services to businesses that serve financially distressed consumers, after alleging that the company had sold information obtained through its consumer reporting business to marketers to create a marketing database. [read post]
20 May 2017, 7:24 am
CPR Radio Show Host Dan Levin Hit With FINRA Arbitration Award On May 19, 2017, a FINRA Dispute Resolution, Inc. arbitration panel issued a binding arbitration award against Dallas based financial planner Dan Levin, host of the CPR radio show, who markets his services through his company Comprehensive Planning for Retirement. [read post]
6 Feb 2015, 9:07 am
Reuters reported on February 6, 2015 that UBS in Puerto Rico held a meeting during which executives of the firm, including Miguel Ferrer, then the Chairman of UBS Financial Services Inc. of Puerto Rico, threatened financial advisors to sell UBS originated Puerto Rico closed-end bond funds despite the brokers’ and their customers’ growing concerns about “low liquidity, excessive leverage, oversupply and instability. [read post]
19 Apr 2021, 3:13 am
" It would not be unexpected for the company to modernize its mark by adding the word MUSIC.Tacking also requires that the goods or services marketed under the earlier mark be "the same or similar" as the goods or services marketed under the later mark. [read post]
14 Mar 2024, 6:19 pm
The settlement, disclosed on the state’s Bureau of Securities Regulation website, reportedly imposes hefty penalties on Kulch and his former broker-dealer, Next Financial Group Inc., totaling over $1 million. [read post]
21 Feb 2008, 8:24 am
In prepared testimony to the House Financial Services Subcommittee on Capital Markets, New York Insurance Department Superintendent Eric Dinallo said that such separation is one of the proposals regulators have been discussing with struggling bond insurers, FGIC Corp., MBIA Inc., and Ambac Financial Group Inc. [read post]
21 Oct 2016, 5:47 am
Laura Gamble, Maryland regional president of PNC Financial Services Group Inc., talked to The Daily Record about how the bank, one of the largest in the state, takes on those challenges. [read post]
5 May 2012, 7:29 am
The SEC charged UBS Financial Services Inc. of Puerto Rico with making misrepresentations and omissions of material facts to numerous retail customers in Puerto Rico regarding the secondary market liquidity and pricing of UBS PR-affiliated, non-exchange-traded closed-end funds. [read post]
5 May 2012, 7:29 am
The SEC charged UBS Financial Services Inc. of Puerto Rico with making misrepresentations and omissions of material facts to numerous retail customers in Puerto Rico regarding the secondary market liquidity and pricing of UBS PR-affiliated, non-exchange-traded closed-end funds. [read post]
22 Oct 2015, 8:43 am
Medifast Inc., an Owings Mills-based provider of weight management products and services, will announce financial results for the third quarter ended Sept. 30 on Nov. 5 after market close. [read post]
5 May 2021, 4:15 am
On March 31, 2021, Ice Cube (also known as O’Shea Jackson, Sr.) filed a lawsuit against Robinhood Financial LLC, and Robinhood Markets, Inc., financial services... [read post]
7 May 2012, 2:07 pm
FINRA recently has announced that it has sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
10 Nov 2009, 11:40 am
The Company, founded in 1990, provides high-quality document management services to its clients in the pharmaceutical, legal, financial services, healthcare and commercial markets through electronic discovery, computer forensics, litigation support, commercial imaging, online collaboration, forms processing, and other services. [read post]
17 May 2017, 6:47 am
Have you suffered losses investing in Gulfmark Offshore Inc. bonds at the recommendation of a financial advisor? [read post]
26 Nov 2023, 6:52 am
Cloud Software (Off-Premise) Market (Figure 5) The Cloud Software segment within the eDiscovery market, comprising software as a Service (SaaS), Platform as a Service (PaaS), and Infrastructure as a Service (IaaS), is showing interesting trends in its composition and growth. [read post]
6 Apr 2012, 7:14 pm
In other FINRA-related news, Berthel, Fisher & Company Financial Services, Inc. registered principal Marsha Ann Hill has been suspended from associating with any Financial Industry Regulatory Authority member for a year. [read post]
9 Nov 2023, 6:29 am
His previous employers include UBS Financial Services Inc. [read post]
