Search for: "State Waddell"
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3 Dec 2019, 8:03 am
Tiffany Waddell Senior Adviser & Director, Federal Relations State of Maryland – Office of Gov. [read post]
20 Sep 2022, 1:47 pm
Further, the SEC says that Waddell & Reed’s policy specifically stated that accounts with fewer than four trades over the preceding eight quarters would be converted to brokerage accounts. [read post]
6 Jun 2017, 2:41 pm
Waddell & Reed terminated Stanley in January 2016. [read post]
20 Sep 2022, 12:14 pm
In addition, the SEC says that Waddell & Reed’s policy stated that accounts with fewer than four trades over the preceding eight quarters would be converted to brokerage accounts, the SEC says. [read post]
7 Feb 2010, 11:11 am
The state of California will receive $779,795 as its share of a multi-state settlement with Nationwide Life Insurance Co. and Nationwide Life and Annuity Insurance Co. who agreed to pay a fine totaling $2.1 million due to the alleged unsuitable exchange or replacement of two variable annuities developed for and sold by financial advisory firm Waddell & Reed, known as the Waddell & Reed Advisors Select Plus Annuity and the Waddell & Reed… [read post]
8 May 2017, 8:34 am
The order seeks a fine of $3.24 million, restitution to customers of $1.34 million and disgorgement of ill-gotten gains to the state of $1.5 million, in addition to $200,000 of state investigation costs. [read post]
10 Jul 2022, 6:52 pm
Reports provided by authorities show that a collision involving a motorcyclist occurred on Reems Road in the area of West Waddell Road. [read post]
24 Sep 2014, 5:52 am
The complaint alleges that while employed at Waddell & Reed and WRP Investments, Inc. [read post]
19 May 2006, 1:40 pm
Waddell had forfeited the right to confront. [read post]
29 Apr 2010, 12:15 am
A discussion on the private copying levy led to a testy exchange about Canadian Heritage Minister James Moore with Waddell stating: "I really don't understand why our minister, the minister who should, as you say, be defending artists in this country, is attacking them and proposing to take money out of artists' pockets. [read post]
16 Dec 2015, 6:06 am
’United States v. [read post]
7 Feb 2007, 7:32 am
Lynn Waddell, The New York Times 02/06/2007 Read Article: The New York Times [read post]
28 Aug 2009, 10:05 pm
ACS State Healthcare, LLC v. [read post]
4 Jan 2019, 12:26 pm
The report states that the abuse occurred in Boise, Idaho, where Basile’s mother resides. [read post]
6 Feb 2019, 12:44 pm
The findings further stated that Logan purportedly executed unauthorized transactions in customer accounts without their knowledge or consent. [read post]
15 Mar 2017, 11:05 am
The findings stated that Bauer allegedly converted more than $400,000 from the customers, who were also his parents. [read post]
6 Oct 2013, 12:42 pm
It is imperative that these objectives be properly stated. [read post]
20 Jun 2009, 10:20 am
Zachary Waddell, age 8, was found dead June 13th with his head pinned in an elevator at First Christian Church in Sturgis, Kentucky. [read post]
20 Feb 2014, 12:32 pm
Fla. 2006) (stating that “failing to disclose and fully explain the risk of an investment to an investor can be a breach of the broker’s fiduciary duty. [read post]
18 Jul 2017, 4:04 pm
That’s quite different from the situation in the United States. [read post]
