Search for: "METLIFE SECURITIES, INC."
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29 Jan 2020, 9:26 am
, MetLife Inc. and Prudential Financial Inc. [read post]
6 Jan 2020, 8:24 am
Notable Medical Review Company Mergers and Acquisitions ExamWorks, Inc. is a subsidiary of holding company, ExamWorks Groups, Inc., which is a large national and international provider of IME services. [read post]
18 Dec 2019, 4:00 pm
DOL Proposes New Electronic Distribution Rule Errors in ACA Penalty Assessments Require Prompt Employer Action New Health Care Design Opportunity for Large Employers: Individual HRAs Newly Proposed Health Insurance Cost and Coverage Transparency Requirements Remedial Amendment Period Closing Soon for Self-Correcting 403(b) Plans IRS Opens Determination Letter Window to Cash Balance and Other Hybrid Plans Final Regulations on 401(k) Hardship Withdrawals Massachusetts Among Several States Implementing… [read post]
18 Dec 2019, 1:31 pm
The Securities and Exchange Commission today charged MetLife, Inc. with violating the books and records and internal accounting controls provisions of the federal securities laws relating to two errors in its accounting for reserves associated with its…Read the Full Press ReleaseHave a securities law question? [read post]
13 Dec 2019, 1:58 pm
Inc. v. [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]
1 Jul 2019, 12:46 pm
Morgan Keegan & Company, Inc Avent, Meiewyn Alliance-One Investments, LLC Metlife Investors Distribution Company Bougopoulkos, Nicholas Wells Fargo Securities, LLC Stifel Financial Corp Cook, Marian Farmers Financial Solutions, LLC Corley, Robert Fidelity Brokerage Services LLC Redstone Securities, Inc Detamore, Craig Allstate Financial Services, LLC… [read post]
4 Feb 2019, 2:18 pm
MetLife Must Pay New York Regulator $19.75M Penalty for Not Paying Pensions New York’s’ Department of Financial Services has imposed a $19.75M penalty against MetLife Inc. after finding that the insurer did not pay more than 13,000 people the pensions they were owed. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch,… [read post]
22 Oct 2018, 2:29 pm
MetLife challenged its SIFI designation and won in federal court to overturn the FSOC decision and finally prevailed in January of this year. [read post]
5 Sep 2018, 4:20 am
While registered with FINRA member firm MetLife Securities, Inc., Cohen obtained at least $14,6060.94 in reimbursements for false expense reports because the corresponding pre-approved client marketing events did not occur and, ther... [read post]
31 Aug 2018, 1:25 pm
Continue reading The post Silver Law Group has filed a FINRA Arbitration Against MetLife Securities / MSI Financial Services and ELE Wealth Advisors Concerning Selling Away Claims appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Aug 2018, 11:20 am
M & T Securities, Inc Vincent Canzoneri Sigma Financial Corporation Ameriprise Financial Services, Inc Barry Connell Morgan Stanley UBS Financial Services Inc Charles Cox Wells Fargo Advisors, LLC Chase investment Services Corp Shane Dawkins Westpark Capital Joseph Stone Capital LLC Mark Flanagan Citigroup Global Markets Inc Wells Fargo… [read post]
28 Jun 2018, 1:46 pm
Peter Orlando (CRD #1142715) is a former registered broker, last employed with SCF Securities, Inc. [read post]
28 Jun 2018, 8:33 am
On June 25, 2018, the Enforcement Section of the Commonwealth of Massachusetts Securities Division (“Division”) filed an Administrative Complaint (“Complaint”) against Respondent MetLife, Inc. [read post]
4 Jun 2018, 6:30 am
Harbinger Asset Management, LLC Bhaskar Chandrakant Vyas Interfirst Capital Corporation Western International Securities, Inc Mark Edward Winburne MML Investors Services, LLC Metlife Securities, Inc. [read post]
15 May 2018, 6:59 am
Inc., Edward Jones in Sarasota, Florida from February 2009 until August 2012, MetLife Securities in Sarasota from August 2012 until December 2015, and FSC Securities Corp in Sarasota from January 2016 until April 2018. [read post]
4 Apr 2018, 7:38 am
Schultz MML Investor Services, LLC MetLife Securities, Inc. [read post]
4 Apr 2018, 7:33 am
Benjamin Asa Duty State Farm VP Management Corp Colleen Elizabeth Flanagan Fidelity Brokerage Services LLC Marques Alexander Green NY Life Securities LLC MetLife Securities Inc. [read post]
9 Mar 2018, 12:48 pm
MetLife, Inc. is the holding company for Metropolitan Life Insurance Company and one of the world’s largest global providers of insurance, annuities, and employee benefit plans. [read post]
