Search for: "A&B Financial Group, Inc."
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25 Apr 2019, 10:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael Olinde (Olinde), currently associated with Capital Financial Services, Inc. [read post]
19 Jan 2024, 7:37 am
(CRD#:16783), LAGUNA HILLS, CA B, 01/23/2008 – 12/31/2013, BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. [read post]
16 Dec 2011, 5:30 pm
Myer and Strider Marketing Group, Inc. are referred to as Myer. [read post]
19 Jun 2017, 11:36 am
Wesselt operates his securities practice under an d/b/a entity called Wesselt Capital Group. [read post]
6 Jun 2023, 7:49 am
(CRD#:38535), HENDERSON, NV, B, 05/18/2015 – 08/04/2015, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
8 Sep 2022, 12:47 pm
(CRD#:150370), Plano, TX B, 11/09/2010 – 11/13/2017, VFG SECURITIES, INC. [read post]
1 May 2023, 8:42 am
(CRD#:594), BOSTON, MA, B, 11/16/2018 – 05/22/2020, MORGAN STANLEY (CRD#:149777), WILLIAMSVILLE, NY B, 12/06/2013 – 11/27/2018, UBS FINANCIAL SERVICES INC. [read post]
15 Oct 2009, 5:00 am
Novastar Financial, Inc. [read post]
17 Apr 2023, 7:03 am
(CRD#:15007), MELVILLE, NY, B, 11/21/2017 – 03/28/2018, MAXIM GROUP LLC (CRD#:120708), NEW YORK, NY B, 08/04/2016 – 11/22/2017, STOCKKINGS CAPITAL LLC (CRD#:164445), NEW YORK, NY FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
26 May 2020, 1:50 pm
Hannes operated out of Hannes Financial Services Inc in Spokane Washingon. [read post]
5 Jun 2013, 9:46 am
Citizens Financial Group, Inc. and RBS Citizens, N.A., Case No. 12-2832, reversing the Eastern District of New York’s grant of Rule 23 class certification to a putative class of Assistant Branch Managers (“ABMs”) alleging that they were denied overtime. [read post]
26 Jan 2012, 8:40 am
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch’s branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme. [read post]
5 Aug 2016, 7:27 am
Williams, former financial advisor with Merill Lynch, Pierce, Fenner, & Smith? [read post]
3 Oct 2007, 7:08 am
Group, Inc., No. 04-80625, 2006 U.S. [read post]
1 Aug 2016, 7:45 am
., an annuity unit of Prudential Financial Inc., two of the largest variable annuity product manufacturers have announced the closure of L-share sales in certain variable annuities. [read post]
19 Apr 2024, 1:23 pm
Cole Financial, Inc. [read post]
30 Jul 2021, 8:21 am
Introduction The following Comments are respectfully submitted by the signatory organizations Songwriters Guild of America, Inc. [read post]
3 Jul 2014, 6:30 am
Author Michael B. [read post]
18 Mar 2010, 11:12 am
GMAC Mortgage Group, Inc., 417 F.3d 384, 385 (3d Cir. 2005) (finding that “RESPA does not provide a cause of action for overcharges”); Kruse, 383 F.3d at 56 (“We conclude that section 8(b) clearly and unambiguously does not extend to overcharges. [read post]
30 May 2008, 4:37 pm
Dollar Financial Group, Inc. [read post]
