Search for: "Sentinel Securities, Inc." Results 1 - 20 of 77
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21 Nov 2011, 12:25 pm by Harrison
-based broker-dealer FTN Financial Securities Corp. for aiding financial advisor firm Sentinel Management Group Inc. in defrauding its clients of an estimated $1.5 milion…” It is alleged that FTN Financial Securities failed to “maintain accurate books and records of Sentinel’s securities transaction liabilities in its 2006 financial statements. [read post]
1 Jul 2009, 2:49 pm
Assigned to L-3 Communications Security and Detection Systems Inc., Woburn, Mass. (7,535,355) John W. [read post]
12 Jan 2010, 9:35 am by Chris Kramer
A recent report from the Milwaukee Journal-Sentinel Online describes a potential complication that might arise during a bankruptcy filing. [read post]
28 Jun 2012, 3:38 pm
The Financial Industry Regulatory Authority says that it is fining Merrill Lynch, Pierce, Fenner & Smith, Inc. $2.8M in the wake of certain alleged supervisory failures that the SRO says led to the financial firm billing clients unwarranted fees. [read post]
9 Jul 2010, 7:56 am
From the very short Milwaukee Journal Sentinel article on the suit:The woman, who had been assigned to security at Milwaukee County's Marcia P. [read post]
12 Aug 2008, 3:59 pm
The company owed $51,100 plus an additional $4,734 for services and security. [read post]
12 Dec 2017, 12:29 pm by Matthew D. Lee
For more up-to-date coverage from Tax Controversy Sentinel, please subscribe by clicking here. [read post]