Search for: "Alliance Security, Inc"
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23 Mar 2017, 11:24 am
She was registered with WESTERN INTERNATIONAL SECURITIES, INC from October 2009 through December 2015 and with Royal Alliance from February 2006 through October 2009. [read post]
19 Oct 2021, 6:21 am
Advisor Megurditch Patatian (Patatian), formerly employed by brokerage firm Western International Securities, Inc. [read post]
7 Jul 2009, 1:49 pm
These moves are widely seen as being in response to recent SEC enforcement action against Royal Alliance Securities involving that firm's failure to establish reasonable and adequate procedures to supervise satellite offices whose rogue brokers took advantage of their clients. [read post]
26 Jul 2016, 7:47 am
North American Clearing, Inc., the Eleventh Circuit Court of Appeals affirmed the U.S. [read post]
27 Oct 2016, 8:48 am
Compliance with the Privacy and Security Rules of the Health Insurance Portability & Accountability Act (HIPAA) is a living process that requires employer and other health plans, health insurers, health care providers and healthcare clearinghouses to recurrently reevaluate their HIPAA enterprise risk and timely act to mitigate security threats to electronic (ePHI) and other protected health information and other HIPAA compliance concerns on an ongoing basis. [read post]
9 Apr 2009, 8:34 am
Tri-West Healthcare Alliance, Case No. 05-16990, 2007 WL 4116068 (9th Cir. [read post]
20 Oct 2023, 3:30 am
In Alliance for Fair Board Recruitment v. [read post]
25 Oct 2023, 4:29 pm
Department of Homeland Security‘s Administrative Appeals Office of USCIS. [read post]
24 Apr 2012, 6:15 am
Job security has gone long by the wayside. [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, 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 Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co… [read post]
30 Jun 2020, 7:48 am
Talebi was reportedly registered with LPL Financial (through March 2012) and Royal Alliance Associates, Inc. [read post]
15 Sep 2017, 11:51 am
These impactful actions included:In the Matter of Royal Alliance Associates, Inc. et al., which resulted in the payment of $9.5 million in monetary relief stemming from alleged anti-fraud violations based on alleged failure to monitor client accounts and to disclose conflicts in selecting mutual fund share classes for clients. [read post]
20 Apr 2017, 9:03 am
The Financial Industry Regulatory Authority Inc. suspended Kluge last month for failure to provide information. [read post]
30 Apr 2018, 8:46 am
Security People, Inc. v. [read post]
20 Aug 2018, 3:47 pm
Up to 60 brokerage firms have sold the GPB funds, including Advisor Group broker-dealers Sagepoint Financial Inc., FSC Securities Corp., Royal Alliance Associates, Inc., and Woodbury Financial Services Inc. [read post]
12 Jul 2007, 5:23 am
Heiden Associates Inc., Washington, DC Valerie Corral Founder of WAMM, Wo/Men’s Alliance for Medical Marijuana Davenport, CA Siobhan Reynolds President, Pain Relief Network, Santa Fe, NM John Flannery Attorney, Campbell, Miller, Zimmerman, PC, and Author of Pain in America and How the Government Makes it Worse Leesburg, VA John Flannery and Siobhan Reynolds will be excellent witnesses. [read post]
25 Aug 2015, 7:32 am
From February 2005, until February 2007, Tweed was registered with United Securities Alliance, Inc. [read post]
16 Sep 2016, 8:07 am
In June 2016, the company announced possibly listing one or both of the company’s common stock on a national securities exchange, strategic alliances and acquisitions, potential borrowings and future capital raises. [read post]
9 Oct 2015, 6:29 am
From 2006, until October 2009, Bennett was associated with Royal Alliance Associates, Inc. [read post]
23 Apr 2013, 6:28 am
Werner, Syndicated Gold Depository Inc, now known as Bahamas Resources Alliance Ltd., Merendon Mining Corp. [read post]
