Search for: "National Action Financial Services, Inc."
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14 Oct 2011, 12:51 pm
After the Financial Industry Regulatory Authority, or FINRA, found that Raymond James Financial Services Inc. had charged excessive commissions in about 13,500 customer accounts due to a failure to supervise, the firm agreed to pay more than $750,000 plus interest to the customers, as well as a $200,000 fine. [read post]
22 Aug 2017, 8:14 pm
LON SMITH & ASSOCIATES, INC. [read post]
3 Nov 2016, 7:20 am
As part of the settlement, FINRA sanctioned Voya Financial Advisors, five broker-dealer subsidiaries of Cetera Financial Group, Kestra Investment Services and FTB Advisors Inc., according to its action notice. [read post]
5 May 2016, 2:50 pm
“This action exposes the Waked Money Laundering Organization and disrupts its ability to launder drug trafficking proceeds using trade-based methods, duty-free retail, real estate development, and financial services throughout the region,” said John E. [read post]
28 Nov 2018, 12:03 pm
Auto Grp., Inc., 181 Cal Rptr. 3d 781 (Cal. [read post]
14 Jan 2021, 12:09 pm
Sandoz Inc. [read post]
3 Sep 2020, 7:51 am
UBS Financial Services Inc. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services… [read post]
10 Jul 2012, 2:07 pm
Financial services institutions (and even entities outside the financial services industry) that have been subjected to class actions seeking statutory damages for purely technical violations that do not cause any actual harm to the plaintiffs will thus have to wait until another day and for another test case to obtain relief from such actions. [read post]
30 Nov 2021, 8:38 am
(CRD#:38095) of Valrico, FL, Ameriprise Financial Services, Inc. [read post]
22 Sep 2022, 1:55 pm
Solutions Law Press, Inc. invites you receive future updates by registering on our Solutions Law Press, Inc. [read post]
11 Feb 2016, 10:00 pm
The Orlando-based National Registry of Food Safety Professionals (NRFSP) formed 18 years ago to offer training and food safety certification for personnel in the restaurant, hotel and quick service industries. [read post]
18 Sep 2017, 12:16 pm
– The Consumer Financial Protection Bureau today took action against the National Collegiate Student Loan Trusts and their debt collector, Transworld Systems, Inc., for illegal student loan debt collection lawsuits. [read post]
17 Sep 2017, 7:30 pm
The Company helps meet the growing demand for private education loans by providing national and regional financial institutions and educational institutions, as well as businesses and other enterprises, with an integrated suite of design, implementation and securitization services for student loan programs tailored to meet the needs of their respective customers, students, employees and members. [read post]
8 Jan 2021, 11:01 am
Christie’s Inc. [read post]
22 Aug 2017, 8:14 pm
LON SMITH & ASSOCIATES, INC. [read post]
18 Apr 2011, 9:57 am
Supreme CourtMatrixx Initiatives, Inc. v. [read post]
22 Sep 2021, 7:24 am
Woodbury Financial Services, Inc. [read post]
17 Jul 2020, 3:00 am
By William Abbott, Diane Kindermann, Glen Hansen, and Daniel Cucchi Welcome to Abbott & Kindermann, Inc. [read post]
6 Apr 2023, 9:55 am
OMI Georgia, Inc., 640 F.2d 632, 634 (5th Cir. [read post]
