Search for: "Assurity Financial Services, LLC"
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26 Mar 2016, 9:05 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
3 Jul 2011, 12:33 am
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINEBy Brian Montgomery, former FHA Commissioner and Vice Chairman, The Collingwood Group and Karen Garner Wing, Special Advisor to The Collingwood Group and former HUD Quality Assurance Division Manager According to recent news stories, the HUD Office of Inspector General has put several lenders on notice regarding the quality of documents submitted as part of the FHA claims process. [read post]
31 Jul 2012, 6:19 pm
BMW Financial Services NA, LLC, No. 6:10-cv-1373 (M.D. [read post]
13 May 2007, 9:05 am
Forge Consulting, LLC ...financial-advisors.in/Atlanta. [read post]
25 Jun 2014, 8:00 am
” Division of Child Support Services. [read post]
5 Oct 2015, 3:11 am
AICPA Forensic & Valuation Services Conference. [read post]
20 Jan 2009, 3:25 am
., a firm with a dual focus on computer hardware technology and health care technology, recently filed suit against UBS AG, UBS Financial Services and UBS Securities LLC (“UBS”) for allegedly fraudulently inducing Hutchinson to purchase millions of dollars in auction rate securities (ARS). [read post]
15 Dec 2008, 5:54 pm
As if the financial services community needed another confidence sapper, the New York Post reports that international losses alone could exceed $8 billion! [read post]
15 Jul 2022, 7:01 am
Court of Appeals for the Second Circuit that had upheld similar subpoenas issued by the House Financial Services and Intelligence committees for Trump-related financial documents held by Deutsche Bank and Capital One. [read post]
3 Feb 2014, 8:03 am
The court also declined to address the testimony that Springhurst had assured Hutchinson that she would not incur personal financial liability by signing the Agreement. [read post]
28 Apr 2016, 1:44 pm
Secretary of Labor Thomas Perez stated that the finalization of this rule assures “that a consumer’s best interest must come before a financial advisors’ best interest. [read post]
16 May 2014, 5:15 pm
As one who truly valued the good and ethical work being performed by the majority of practitioners within the financial services industry, I have been honored to do my small part to protect the industry and community from the “bad apples” that would spoil the reputation of ethical practitioners. [read post]
29 Jul 2012, 5:03 pm
Bancorp Services, LLC. v. [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
20 Jan 2009, 5:30 am
Ameriprise Financial Services, formerly known as American Express Financial Advisers, has been cited and fined by regulators extensively in recent months for so-called "selling-away violations. [read post]
30 Aug 2012, 1:48 pm
Bancorp Services, LLC v. [read post]
17 Jun 2011, 11:07 am
Assured Guaranty Ltd. [read post]
5 Apr 2017, 6:57 am
SEC that SEC ALJs are unconstitutionally appointed inferior officers (In the Matter of Bennett Group Financial Services, LLC, Release No. 33-10331, March 30, 2017).Allegations. [read post]
13 Jun 2018, 7:37 am
According to Nassau’s district attorney, financial advisor Matthew E. [read post]
