Search for: "Security First Managers, LLC."
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14 Jul 2018, 6:42 am
It is far from clear that this fact should deprive it of the status of a speaker seeking to protect its own First Amendment rights. [read post]
13 Jul 2018, 11:39 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 Vero Beach, Florida. [read post]
13 Jul 2018, 4:56 am
It leaves undisturbed a policy first advertised openly and unequivocally as a ‘total and complete shutdown of Muslims entering the United States’ because the policy now masquerades behind a facade of national-security concerns. [read post]
11 Jul 2018, 2:09 pm
From September 2004 to May 2005, Maddren was registered with Sky Capital LLC. [read post]
10 Jul 2018, 3:57 am
Colorado Division of Securities Participates in Coordinated International Crypto Crackdown On May 3, 2018, the Colorado Securities Commission announced that it signed orders requiring Linda Healthcare Corporation and Broad Investments, LLC to cease and desist from selling securities in the state. [read post]
9 Jul 2018, 12:46 pm
The post FINRA Suspends Registered Individuals in June 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
9 Jul 2018, 12:43 pm
According to FINRA Disciplinary actions for June 2018, the following individuals were barred 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 Donald Nelson Bower III Edward Jones Invest Financial Corp Christopher Masharn Bruce Statefarm VP Management Corp Chris Bruce Insurance Agency… [read post]
5 Jul 2018, 10:31 am
The court focused on the language in the emails themselves, noting that, in the first email, Watkins represented that the money would be used for specific international waste management projects. [read post]
5 Jul 2018, 9:41 am
Bankruptcies are a potential sign that the advisor has difficulty managing their own finances. [read post]
4 Jul 2018, 11:36 am
From July 2013 to October 2016, Paolucci was registered with American Independent Securities Group, LLC. [read post]
3 Jul 2018, 9:00 am
The following private sector contractors have been awarded UPIC contracts:Qlarant (Previously known as “Health Integrity, LLC”) (Western Jurisdiction)AdvanceMed Corporation (Midwestern Jurisdiction)IntegriGuard, LLC, dba HMS Federal (Indefinite Delivery, Indefinite Quantity[1])Noridian Healthcare Solutions, LLC (Indefinite Delivery, Indefinite Quantity)Safeguard Services LLC (North Eastern Jurisdiction)StrategicHealthSolutions, LLC… [read post]
30 Jun 2018, 5:05 pm
Consideration also includes the amount of any lien, mortgage, indebtedness or other encumbrance given to secure the purchase price or remaining on the property at the time of sale, including the assumption of an underlying debt. [read post]
29 Jun 2018, 3:13 pm
The post Investment Advisor Sentenced to Over 12 Years in Prison, $5.2 Million in Restitution for Fraud appeared first on Zamansky LLC. [read post]
29 Jun 2018, 8:35 am
Craig Blattner has been in the securities industry for 31 years most recently with Cetera Advisors LLC in Longwood, FL from September 2016 – February 2018. [read post]
28 Jun 2018, 1:52 pm
Yousuf Saljooki (CRD #5045123, a/k/a “Joe Saljooki”) is a former registered broker with Worden Capital Management LLC (CRD #148366) of Melville, NY. [read post]
28 Jun 2018, 11:59 am
Securities attorneys from Gana Weinstein LLP are investigating Kestra Investment Services, LLC (Kestra Investment Services) broker Mitchell Walk (Walk). [read post]
28 Jun 2018, 11:49 am
L.P., Cherokee Investment Partners LLC, Ecosystem Investment Partners LLC, Elm Partners Management LLC, HEP Management Corp., Prescott General Partners LLC, RLJ Equity Partners LLC, Rose Park Advisors LLC, and Veteri Place Corp. [read post]
28 Jun 2018, 11:49 am
On June 1, 2018, the Securities and Exchange Commission settled charges with 13 registered investment advisers to private funds: Bachrach Asset Management Inc., Bilgari Capital LLC, Brahma Management Ltd., Bristol Group Inc., CAI Managers & Co. [read post]
27 Jun 2018, 12:27 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
27 Jun 2018, 6:46 am
For example, after the Target data breach, which affected 41 million customers, the settlement required Target to employ a chief officer who manages security, to actively monitor its systems for security events, provide security training to its employees for five years, and perform routine security assessments. [read post]
