Search for: "Executive Security Services, Inc."
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1 Oct 2011, 4:08 pm
(RJA) and Raymond James Financial Services, Inc. [read post]
8 Mar 2022, 4:38 am
These include Legal Spend Analysis, Legal Invoice Analytics and Review, and “Metrics that Matter” dashboards for at-a-glance, executive-level insights. [read post]
28 Jul 2010, 6:49 pm
A Financial Industry Regulatory Authority arbitration panel is ordering Raymond James & Associates Inc. and Raymond James Financial Services Inc. to buy back $2.5M in auction-rate securities from an investor. [read post]
17 Nov 2022, 12:29 pm
Inc. [read post]
2 Nov 2017, 7:01 am
Father/Son Tutoring Company Executives Sentenced for Fraud (FBI News Release) https://www.fbi.gov/news/stories/father-and-son-sentenced-in-tutoring-services-fraud-schemeFederal prosecutors alleged that in the Chiicago area, Jowhar Soultanali, 62, and his son, Kabir Kassam, 38, offered on-site school tutoring through their Brilliance Academy, Inc. [read post]
30 Aug 2010, 12:47 pm
According to FINRA acting enforcement chief and executive vice president James Shorris, investment firms have to tell prospective clients and customers about material information related to their services and products. [read post]
25 Aug 2009, 8:25 am
., was convicted today of conspiracy, securities fraud and tax charges following a jury trial before Judge Donald Middlebrooks in West Palm Beach, Fla., the Justice Department and Internal Revenue Service (IRS) announced. [read post]
11 Aug 2022, 11:42 am
In the latest example of these phenomena, a plaintiff shareholder has filed a securities suit against the mental health care service provider LifeStance Health Group, Inc. and certain of its executives. [read post]
3 Oct 2013, 7:10 am
” According to the Caribbean News, the statement of claim names: “UBS Financial Services Inc.; UBS Bank USA; UBS financial consultants and investment executives José M. [read post]
26 Jun 2012, 3:08 pm
Kaplan has approved a $40 million class action settlement in the residential mortgage-backed securities lawsuit against three individuals who used to be affiliated with Lehman Brothers Holdings Inc. [read post]
2 Sep 2021, 12:18 pm
The Essgekay court acknowledged the similarities between its state’s version of UCC Article 4A and other states’ versions, and how courts in other states have applied the Guidance when analyzing the commercial reasonableness of a bank’s security procedures, citing Choice Escrow and another earlier case, Patco Construction Co., Inc. v. [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]
8 Sep 2020, 1:03 am
(Bloomberg by Dana Hull)SEC Charges Washington Company and Owner with Defrauding Investors (SEC Release)FINRA Censures and Fines SeedChange Over Outside Business Activities Supervision.In the Matter of SeedChange Execution Services Inc., Respondent (FINRA AWC) FINRA Fines and Suspends Rep for Transferring Customer List to New Em... [read post]
11 Nov 2014, 6:02 am
Gana LLP recently filed a claim against Legend Securities, Inc. [read post]
30 Jun 2021, 6:30 am
Prior to 2006, Neovest provided its services through its registered broker-dealer Neovest Trading, Inc., and the transaction fees received for those services were paid directly to Neovest Trading.Transaction-based fees. [read post]
30 Mar 2012, 8:03 am
Peppel, former top executive of MCSi Inc., for his guilty pleas to felony crimes related to the company’s 2003 collapse and insolvency. [read post]
12 Oct 2017, 4:22 pm
Solutions Law Press, Inc. is preparing initial analysis of this Executive Order and will be closely monitoring and updating this analysis. [read post]
18 Jul 2007, 12:31 pm
Securities America, Inc. agreed to a $375,000 fine to settle charges by the NASD that it received improperly directed mutual fund commissions on behalf of one of its brokers, failed to supervise and failed to disclose the arrangements to the affected mutual fund owners. [read post]
24 Aug 2009, 5:19 am
Crafting an Effective Strategy is an ITLA 2009 executive track session with panelists Greg Kaple, Senior Partner of Integrated Management Services, Inc. and Ash Banerjee, CIO of WilmerHale. [read post]
12 Dec 2016, 2:05 pm
Peter Stone Co., U.S.A., Inc. [read post]
