Search for: "Security First Managers, LLC."
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13 Jan 2020, 7:51 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]
13 Jan 2020, 6:33 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]
13 Jan 2020, 5:57 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]
8 Jan 2020, 8:06 am
First off, in the U.S., pursuant to the Bank Secrecy Act (BSA), transactions involving traditional financial firms, such as banks, brokers and dealers, and money service businesses (MSBs), are subject to strict federal and state anti-money laundering laws and regulations aimed at detecting and reporting suspicious activity, including money laundering and terrorist financing, as well as securities fraud and market manipulation. [read post]
8 Jan 2020, 8:06 am
First off, in the U.S., pursuant to the Bank Secrecy Act (BSA), transactions involving traditional financial firms, such as banks, brokers and dealers, and money service businesses (MSBs), are subject to strict federal and state anti-money laundering laws and regulations aimed at detecting and reporting suspicious activity, including money laundering and terrorist financing, as well as securities fraud and market manipulation. [read post]
7 Jan 2020, 2:17 pm
Turner appeared first on The White Law Group. [read post]
7 Jan 2020, 8:30 am
The post Robert Douglas Armstrong Of Dawson James Securities, Inc. appeared first on Securities Arbitration Lawyers Blog. [read post]
7 Jan 2020, 6:59 am
Prior to his time at Lifemark Securities in Peoria Illinois, Carver was registered with Cetera Advisors LLC, Brewer Financial Services, LLC (a firm that has since been expelled), LPL Financial Corporation, Robert W. [read post]
6 Jan 2020, 1:32 pm
appeared first on Securities Arbitration Lawyers Blog. [read post]
3 Jan 2020, 2:15 pm
Dexter Thomas Early Customer Disputes The first customer dispute on Thomas’ record is in 2002 when he was registered with Sunamerica Securities. [read post]
3 Jan 2020, 1:46 pm
Prior to that he worked at Crown Capital Securities and Independent Financial Group, LLC. [read post]
3 Jan 2020, 9:14 am
You cannot lead a team or organization without first leading yourself. [read post]
1 Jan 2020, 10:35 am
§ 164.308(a)(1)(ii)(A); Failed to have a HIPAA security training program, and failed to provide security training to its employees. [read post]
1 Jan 2020, 8:11 am
Year M&A+I Events (Running Listing: November 2001 – Today) eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 24-Dec-19CarboniteOpenText$1.45 Billion 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 1-Nov-19Nexem Legal (Data Management and Managed Review… [read post]
31 Dec 2019, 11:36 am
The SEC obtained a temporary asset freeze and restraining order against Neil Burkholz of Boca Raton, Florida, and Frank Bianco, of Pembroke Pines, Florida and their companies Palm Financial Management LLC and Shore Management Systems LLC. [read post]
31 Dec 2019, 4:40 am
Wall Street LLC. [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… [read post]
24 Dec 2019, 9:20 am
From November 2016 until August 2017 Foronda was registered with Worden Capital Management LLC. [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital… [read post]
17 Dec 2019, 2:15 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]
