Search for: "Capital One Services, Inc."
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29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [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]
19 Sep 2018, 1:29 pm
From June 2004 to September 2004, Miller was registered with Woodbury Financial Services, Inc. [read post]
16 Sep 2022, 6:53 am
A handful of companies have cornered the correctional health care business: Corizon Health Inc., Wellpath Holdings Inc., NaphCare Inc., PrimeCare Medical Inc. and Armor Correctional Health Services Inc. [read post]
26 May 2009, 11:59 am
Postal Inspection Service. [read post]
13 Dec 2009, 4:00 pm
One of the companies, Mar/Com Services Inc., lists... [read post]
30 Oct 2017, 10:25 pm
HIT owns a portfolio of hotel properties throughout North America, including various Hilton-, Marriott- and Hyatt- branded hotels, within the select service and full-service markets. [read post]
9 Jan 2009, 1:59 pm
Document Technologies has been recognized as one of the industry's "Top 10 Electronic Discovery Services Providers" in the 2007 AmLaw Tech Survey and as one of the "Top 20 Overall Services Providers" in the 4th Annual Socha-Gelbmann Electronic Discovery Survey. [read post]
3 Aug 2009, 2:58 pm
According to the article, firms that sold either one or both of the investments include American Portfolios Financial Services Inc., Capwest Securities Inc., GunnAllen Financial Inc., J.P. [read post]
16 Jul 2015, 4:52 pm
Here is the most recent list of the top complaint-receiving debt collectors nationwide (from most to least): Enhanced Recovery Company, LLC, Encore Capital Group, Portfolio Recovery Associates, Inc., Transworld Systems Inc., Convergent Resources, Inc., Allied Interstate LLC, EOS Holdings, Inc., Resurgent Capital Services L.P., Afni, Inc. and Diversified Consultants, Inc. [read post]
30 Jul 2011, 6:30 am
Ever since its was revealed that federal investigators were taking a look into their mortgage foreclosure practices Lender Processing Services Inc., the company has maintained that the search would not result in numerous financial penalties by way of fines and lawsuits. [read post]
5 Aug 2019, 7:56 am
We look forward to the next chapter of growth as the new organization goes out to market as one entity with combined expertise and scale,” said Ramzi Musallam, CEO and Managing Partner of Veritas Capital. [read post]
23 May 2014, 2:26 pm
Mills, Inc., v. [read post]
28 Feb 2012, 11:42 am
In August 2011, the B-D was acquired by Ladenburg Thalmann Financial Services Inc. for a reported $150 million in cash. [read post]
3 Dec 2019, 9:22 am
The following article is reproduced with permission from Copyright 2019The Bureau of National Affairs Inc. (800-372-1033) www.bna.com. [read post]
10 Dec 2019, 10:53 am
Kubiak is formerly registered with member firm Kalos Capital, Inc. [read post]
1 Feb 2017, 4:00 am
ARS National Services, Inc., ___ F.3d ___ (9th Cir. [read post]
6 Mar 2012, 8:33 am
Brown, formerly associated with registered broker-dealer Prime Capital Services, Inc., violated various provisions of the Securities Act of 1933 and 1934 by selling variable annuities to elderly customers while failing to disclose material information, including a prohibition on Brown’s insurance license against making such sales. [read post]
6 Mar 2012, 8:33 am
Brown, formerly associated with registered broker-dealer Prime Capital Services, Inc., violated various provisions of the Securities Act of 1933 and 1934 by selling variable annuities to elderly customers while failing to disclose material information, including a prohibition on Brown’s insurance license against making such sales. [read post]
Texas Securities Fraud: Commodity Futures & Options Service, Inc. is Permanently Barred from the NFA
1 May 2010, 9:18 pm
Commodity Futures & Options Service, Inc., a Houston-based introducing broker, has been permanently barred from the National Futures Association. [read post]
