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28 May 2022, 4:09 am by The White Law Group
 SEC fines RiverSource Distributors Inc. $5 Million for Improper Variable Annuity Exchanges   According to The Securities and Exchange Commission this week, the regulator has reportedly fined RiverSource Distributors Inc., a subsidiary of Ameriprise Financial Services LLC, $5 million for allegedly improperly switching Ameriprise customers’ variable annuities in order to generate commissions. [read post]
18 Mar 2013, 5:00 am by Doug Cornelius
Brown, First Choice Investment, Inc. and Advanced Corporate Enterprises, Inc. [read post]
12 Mar 2012, 9:54 am
  This Class Action was brought by former students of a private helicopter vocational school, claiming the school was a "sham aviation school that targeted limited-income students who could not afford to pay for their pilot training without taking out student loans. [read post]
20 Mar 2008, 9:17 pm
They're all interesting defenses.Regarding mootness, eVineyard argued that the license suspension targeted a 2004 alcohol license, and, by 2007, that train had left the station. [read post]
4 Sep 2018, 9:13 am by Wesley Wright
Compliance Training Program – Establish and implement a compliance training program and train all covered employees on the FCC’s transfer of control rules within 120 days. [read post]
9 Oct 2017, 3:05 pm by Angelo A. Paparelli
Train, Train, Train – Human Resource teams and their delegates need to consistently and accurately complete Form I-9s. [read post]
7 Aug 2019, 10:04 am by Hunton Andrews Kurth LLP
In addition, United General Bakery, Inc. is required to train their human resources department on the INA requirements regarding anti-discrimination and will be subject to compliance monitoring by the DOJ during a two-year period. [read post]
2 Sep 2010, 10:17 am
The first incentive payments are targeted to be made in May 2011. [read post]
14 Aug 2014, 7:25 am by Allison Tussey
An investigation revealed that Tealdo was the main controlling person at FST Enterprises, Inc. [read post]