Search for: "Fargo Trading Inc."
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11 Feb 2013, 9:33 am
Dividend Capital Total Reality Trust Inc. operates as a non-traded REIT that began by providing investment opportunity in high-quality office, industrial retail, multi-family, and real properties located in North America. [read post]
14 Feb 2017, 2:34 pm
” As the AWC went on, “[t]his level of trading was unsuitable. [read post]
6 May 2014, 8:43 am
Inyx, Inc. et al, Case No. 07-01606 (USDC), Mr. [read post]
14 Jun 2012, 5:51 pm
(C), Wells Fargo & Co. [read post]
4 Jun 2018, 6:38 am
BBVA Compass Investment Solutions, Inc Benjamin Glasser Aibel Wunderlich Securities,Inc Sanders Morris Harris Inc Carter Page Brooks Wells Fargo Clearing Services, LLC Edward Jones Walter Lee Clark Clark Capital Financial LLC Adirondack Trading Groups LLC Christian Colon Ausdal Financial Partners, Inc. [read post]
21 Nov 2019, 8:44 am
Legal and Regulatory Developments SPOTLIGHT: Visa Confirms the FTC Is Probing Its Debit Transaction Routing PracticesDigital Transactions News – November 18, 2019 Confirming rumors that the Federal Trade Commission is looking into issues involving debit card transaction routing, Visa Inc. late last week reported the Federal Trade Commission has asked it to voluntarily provide information about its routing practices. [read post]
16 Feb 2016, 12:06 pm
Doucet and Margie Doucet (collectively “Claimants”) $307,000 for losses stemming from investments in direct participation programs (“DPPs”) involving non-traded real estate investment trusts (“REITs”), promissory note programs, master limited partnerships (“MLPs”) and private oil drilling programs offered by VSR Financial Services, Inc. [read post]
16 Jan 2015, 12:01 pm
Financial Services Inc. fined for $775,000Reason for Fine: Failure to supervise the sale of alternative investments such as non-traded REITs and leveraged and inverse ETFs. [read post]
20 Apr 2022, 2:13 pm
Morgan Institutional Investments Inc. [read post]
19 Jan 2021, 8:16 am
Hanaur & Company, Smith Barney Inc., Citigroup Global Markets Inc., Wells Fargo Clearing Services LLC and is currently working for Raymond James & Associates, Inc. [read post]
31 Jul 2018, 2:16 pm
Inc. [read post]
3 Dec 2015, 7:45 am
In December 2011, Wuhl voluntarily resigned from UBS Financial Services Inc. [read post]
18 Mar 2008, 12:32 pm
Inc. [read post]
23 Nov 2011, 10:01 am
Four separate antitrust class actions filed against Visa Inc. and MasterCard Inc. in October over an alleged price-fixing scheme are likely to move forward as one case. [read post]
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
2 Oct 2018, 5:44 am
According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Heath Bowen Allegis Investment Services, LLC Signator Financial Services, Inc William Eaton LPL Financial, LLC Wells Fargo Advisors, LLC Yosef Fox Ditto Trade, Inc … [read post]
1 May 2018, 10:29 am
Wells Fargo Bank (Tex.), N.A., 788F.3d 463, 476 (5th Cir. 2015). [read post]
9 Jul 2017, 7:47 am
Ameriprise Financial Services, Inc. [read post]
31 Dec 2009, 2:05 pm
Edwards & Sons, Inc. in Ventura and Oxnard, California, was barred from association with any FINRA member in any capacity for allegedly engaging in unauthorized trades in customer accounts, making unsuitable recommendations and altering customer account documentation. [read post]
2 Sep 2009, 7:46 am
Nasdaq composite trading. [read post]
