Search for: "Mutual Securities, Inc"
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28 Sep 2023, 1:47 pm
Sevamp, Inc., 234 Va. 462, 468 (1987). [read post]
28 Sep 2023, 1:37 pm
From 1997 to 2003, Tremblay reportedly served as a broker with Washington Square Securities, Inc., in Santa Barbara, California. [read post]
28 Sep 2023, 1:37 pm
From 1997 to 2003, Tremblay reportedly served as a broker with Washington Square Securities, Inc., in Santa Barbara, California. [read post]
28 Sep 2023, 1:37 pm
From 1997 to 2003, Tremblay reportedly served as a broker with Washington Square Securities, Inc., in Santa Barbara, California. [read post]
25 Sep 2023, 2:26 pm
Securities and Exchange Commission (SEC) announced settled charges against the registered investment adviser DWS Investment Management Americas Inc. [read post]
25 Sep 2023, 12:27 pm
SEC charges DWS with Anti-Money Laundering Violations and ESG Misstatements According to a press announcement, the Securities and Exchange Commission (SEC) has recently taken action against DWS Investment Management Americas Inc. [read post]
22 Sep 2023, 6:30 am
Securities and Exchange Commission, on Thursday, September 21, 2023 Tags: SEC [read post]
22 Sep 2023, 6:30 am
Securities and Exchange Commission, on Thursday, September 21, 2023 Tags: SEC [read post]
8 Sep 2023, 12:51 pm
Ameriprise Financial Censured & Fined $4.5 Million Ameriprise Sanctioned for Overcharging Retirement Customers March 2018 – Ameriprise Financial Services Inc. has agreed to settle charges with the SEC for recommending and selling higher-fee mutual fund shares to retail retirement account customers while failing to provide appropriate sales charge waivers. [read post]
6 Sep 2023, 9:20 pm
This settlement arises from allegations of improper expense reimbursements made to external advisors of Lodging Opportunity Real Estate Investment Trust and Lodging Fund REIT III Inc. [read post]
1 Sep 2023, 6:44 am
Filed on 1/28/2008, this claim alleged that Saw failed to follow the client’s request to sell mutual funds, resulting in a loss of $11,636.54 after the trading was adjusted. [read post]
30 Aug 2023, 6:30 am
Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Wednesday, August 30, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
30 Aug 2023, 6:30 am
Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Wednesday, August 30, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
29 Aug 2023, 12:32 pm
First Southwest Company, LLC and Southwest Securities, Inc. subsequently merged into what is now Hilltop Securities, Inc., in 2016. [read post]
27 Aug 2023, 7:49 pm
July 2019 – The Financial Industry Regulatory Authority (FINRA) reportedly censured and fined Western International Securities for overcharging customers on mutual fund transactions placed in customers’ accounts. [read post]
25 Aug 2023, 11:47 am
Censured & Fined July 2018 – FINRA sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and enforce a supervisory system in connection with variable annuities. [read post]
21 Aug 2023, 3:39 am
This enforcement action elicited a dissent from Commissioners Peirce and Uyeda, who said that the undertakings effectively impose a new disclosure requirement on mutual funds (In the Matter of DST Asset Manager Solutions, Inc., Release No. 34-98153, August 17, 2023).Lost securityholders. [read post]
18 Aug 2023, 10:59 am
Similarly, if crypto is a security, a commodity future, or something other than a “fund” the EFTA’s regulations might not apply. [read post]
17 Aug 2023, 10:49 am
May 2019 – Fidelity Masonic Temple Association, Inc. [read post]
16 Aug 2023, 9:04 am
Securities America Inc. [read post]
