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2 Mar 2018, 1:54 pm
Contact Our Firm if You’ve Invested with Mark Perry Continue reading The post Silver Law Group is Investigating Mark Perry of Royal Alliance Associates, Inc. appeared first on Securities Arbitration Lawyers Blog. [read post]
23 May 2022, 6:15 am
The Securities and Exchange Commission today charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations in making investment decisions for certain mutual funds that it…Read the Full Press ReleaseHave a securities law question? [read post]
6 Aug 2020, 10:22 am
The post Cantor Fitzgerald Income Trust Inc., Securities Investigation appeared first on The White Law Group. [read post]
13 Apr 2016, 8:44 am
If you invested in Servergy Inc and would like to discuss your litigation options, please call the securities attorneys of The White Law Group at 1-888-637-5510 for a free consultation. [read post]
17 Oct 2009, 8:53 pm
The US Securities and Exchange Commission is upholding the market timing violations against two AG Edwards and Sons Inc. supervisors and one of its stockbrokers. [read post]
9 Mar 2021, 2:31 pm
Several customers have filed securities arbitration claims against David Lerner Associates Inc. [read post]
17 Sep 2021, 1:02 pm
Waterdrop Inc. [read post]
22 Dec 2010, 1:19 pm
On December 7, 2010, the Supreme Court heard oral argument in Janus Capital Group, Inc. v. [read post]
31 Jul 2020, 12:35 pm
The post VALIC Financial Advisors Inc., Subsidiary of AIG, To Pay $20 Million Settlement For Sales Of Investments With Undisclosed Costs appeared first on Securities Arbitration Lawyers Blog. [read post]
1 Jul 2011, 6:43 pm
Washington Mutual, Inc., the former owner of the biggest U.S. bank to fail during the credit crisis, has entered into a preliminary settlement of the securities class action pending against the company and related defendants in the W.D. of Washington.... [read post]
17 Jun 2014, 11:27 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. was fined $8 million for failing to waive mutual fund sales charges for certain charities and retirement accounts by FINRA. [read post]
17 Jun 2013, 6:00 am
The Commission made clear in Accounting Series Release No. 118 (Dec. 23, 1970) and In the Matter of Seaboard Associates Inc., Investment Company Act Release No. 13890 (April 16, 1984) that while fund directors may engage others to assist them to calculate fair values of these securities, they continue to be ultimately responsible to determine fair value in good faith.The settled order finds that the eight directors failed to satisfy these responsibilities. [read post]
29 Mar 2019, 7:13 am
The companies will provide a wide range of investment banking services that include IPOs, M&A, Reg D, Reg A+, securities trading, clearing and custody, mutual fund sales, and while not currently active, support the operation of an alternative tradin... [read post]
22 Dec 2008, 2:03 pm
If a bank account has a negative balance resulting from paying overdrafts and overdraft fees, the bank cannot apply a future direct deposit of Social Security or V.A. benefits to make up the deficit balance owed to the bank.The court analyzed Sections 407(a) and 1383(d)(1) of 42 U.S.C., which prohibit creditors from reaching Social Security or SSI benefits by levies, garnishments, or "other legal process," and decided that these sections do not allow a bank to apply a… [read post]
22 Dec 2014, 7:07 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Securities America, Inc. [read post]
6 Mar 2018, 5:52 am
According to the Securities and Exchange Commission, on February 28th,the regulator announced that Ameriprise Financial Services Inc. has agreed to settle charges for recommending and selling higher-fee mutual fund shares to retail retirement account customers and for failing to provide sales charge waivers. [read post]
4 Dec 2003, 3:43 pm
In Thursday's corporations and securities law news, the SEC has charged Mutuals.com, Inc., a Dallas investment adviser and three of its executives with fraud for helping clients make improper trades of mutual fund shares. [read post]
11 Jun 2013, 8:16 am
In September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) (the successor to the National Association of Securities Dealers (“NASD”)) filed a Complaint with its Office of Hearing Officers charging that, in July 2006, John M.E. [read post]
16 Jun 2020, 7:14 am
Richard Brown Arive Capital Markets Chelsea Financial Services Mary Evans Mutual Securities, Inc. [read post]
30 Oct 2015, 2:04 pm
– $13.5 million in restitution Stifel Nicolaus & Company, Inc. [read post]
