Search for: "Accredited Financial Services, Inc"
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1 Aug 2017, 7:42 am
Accredited Standards Committee X9 Inc., which is in Annapolis, has updated its standard for symmetric key management, called ANSI X9.24-1, or Retail Financial Services Symmetric Key Management Part 1: Using Symmetric Techniques. [read post]
11 Sep 2018, 9:16 am
Accredited Standards Committee X9 Inc., a nonprofit organization in Annapolis that develops standards for the financial services industry, published a new standard for mobile commerce implementations. [read post]
20 May 2013, 9:59 am
According to Investment News, the Financial Industry Regulatory Authority (FINRA) has fined VSR Financial Services Inc. $550,000, in addition to a 45-day suspension of their chairman, Don Berry, for over concentrating client portfolios in alternative investments. [read post]
9 Oct 2007, 12:40 pm
The NASD imposed a $200,000 fine against EKN Financial Services Inc. and levied sanctions against the firm's CEO, President, Head Trader and Financial and Operations Principal for improper short selling in connection with three unregistered PIPE securities offerings. [read post]
5 Aug 2009, 1:30 pm
Earlier this year NYCEDC and ESDC announced that the City and State would target up to $30 million of unused JCRP funds to reinforce efforts to solidify Lower Manhattan as the heart of the financial services industry and to attract financial services companies from overseas. [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]
10 Dec 2015, 8:36 am
Sun Dental Holdings, LLC $20,000,000 Class A Common Units Form 1-A filed Sept. 3, 2015; SEC qualification filed Dec, 1, 2015 Tier 2 offering to accredited and non-accredited investors ($10,000 minimum investment) Audited financials Business: traditional dental device manufacturing as well as digital scanning, cloud-based data management system and 3D printing to produce dental devices Use of proceeds: working capital, strategic acquisitions, debt service… [read post]
14 Aug 2014, 5:57 am
(First Allied) and Centaurus Financial, Inc. [read post]
16 Jun 2020, 5:00 pm
Kevin, a Certified Financial Planner® Professional, is also an Accredited Investment Fiduciary®, a Chartered Adviser in Philanthropy®, and Founder and President of PEAK Financial Services, Inc. [read post]
6 Mar 2007, 2:20 pm
IA services include security planning and policy; security audit/assessment and regulatory compliance (certification and accreditation, FISMA and HIPAA); and infrastructure risk mitigation. [read post]
2 Feb 2012, 7:00 am
It also works with clients involved in filed and pending litigation and disputes by providing valuation services, financial forensics, financial damage determination, and bankruptcy related services, including serving as financial advisors to parties, as trustees and as examiners. [read post]
2 Feb 2012, 7:00 am
It also works with clients involved in filed and pending litigation and disputes by providing valuation services, financial forensics, financial damage determination, and bankruptcy related services, including serving as financial advisors to parties, as trustees and as examiners. [read post]
13 Feb 2023, 7:28 am
Nelson, J.D.The Republican leaders of the House Financial Services Committee’s Subcommittee on Capital Markets held two hearings on a set of discussion drafts aimed at promoting a package of capital formation bills. [read post]
26 Aug 2013, 11:10 am
The Department of Justice recently announced that ATI Enterprises Inc. agreed to pay the Government $3.7 million in a settlement to resolve claims that the company had defrauded federal student financial aid programs. [read post]
10 Jul 2023, 12:36 pm
Ahmed Gheith (Ahmed Ghassan Gheith, CRD# 5783957, aka Andy Gheith, Anthony Gheith) is a currently registered broker employed with Ceros Financial Services, Inc. [read post]
10 Oct 2013, 1:13 pm
NY State Dep't of Financial Services (tribal Internet lending)Keweenaw Bay Indian Community v. [read post]
5 Mar 2019, 9:56 am
Hill Securities, Purshe Kaplan Sterling Investments, Sagepoint Financial, Inc., Woodbury Financial Services, Inc., and many others. [read post]
9 Nov 2021, 6:32 am
(CRD#:25803) and Transamerica Financial Advisors, Inc. [read post]
21 May 2012, 2:57 am
[Refusal of LION GLOBAL INVESTORS and Design for, inter alia, investment management and financial advisory services for pension funds, endowment funds, trust funds and assets of accredited or institutional investors [GLOBAL INVESTORS disclaimed], in view of the registered mark LION for investment management services, financial and investment planning and research, and trust services, namely, investment and trust company services].In re… [read post]
11 Jan 2018, 7:08 am
The complaint and separate proofs of claim were also filed in the bankruptcy cases of ITT’s subsidiaries, ESI Service Corp. and Daniel Webster College, Inc. [read post]
