Search for: "Sunset Financial Services, Inc." Results 1 - 20 of 51
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16 Oct 2013, 6:17 am by Adam Weinstein
Between March 16, 2009, and September 21, 2012, FINRA alleged that Sunset Financial Services, Inc., (Sunset) failed to establish and maintain a supervisory system regarding the sale of leveraged or inverse exchange-traded funds, otherwise known as nontraditional ETFs, that was reasonably designed to comply with NASD Conduct Rule 3010. [read post]
19 Feb 2019, 9:26 pm by John Jascob
For example, in a 2018 letter to the then-House Financial Services Committee leadership in the last Congress, the CII lent its “general[] support” to the Enhancing Multi-Class Stock Disclosures Act (H.R. 6322), sponsored by Rep. [read post]
15 Aug 2011, 12:24 pm
In fact, our securities law firm is currently representing a group of investors who filed an arbitration claim against Scottsdale, Arizona, financial advisor Randolf Albers who recommended and sold IMH to his clients through Albers Financial Group and Sunset Financial Services, Inc. [read post]
27 Nov 2017, 3:51 pm by Christopher J. Gray
The Order indicates that, from June 6, 2002 – June 30, 2016, Mickey Long was registered with the State of Texas as an agent of VSR Financial Services, Inc. [read post]
11 Jul 2018, 10:14 am by Dennis Crouch
In the appeal, the Federal Circuit explained that the system could be used in either financial services or non-financial services – and it “is not enough for the specification to describe how the invention could, in some instances, be used to facilitate financial transactions. [read post]
22 Jul 2018, 1:29 pm by Staff Attorney
  From 1995 until November 2014 Utz was associated with Sunset Financial Services, Inc. [read post]
22 Jul 2018, 1:29 pm by Staff Attorney
  From 1995 until November 2014 Utz was associated with Sunset Financial Services, Inc. [read post]
10 Nov 2009, 1:46 am
Documents listed are accessible through subscription to the GalleryWatch.com service. [read post]
12 Dec 2017, 3:00 am by Charles Bieneman
Nonetheless, PGR Review will have its limitations, and, politics aside, cases like this raise the question whether the most consistent course would be to relax CBM sunsetting, and expand the scope of CBM Review beyond financial services. [read post]
3 Aug 2011, 1:32 pm by WIMS
[#Energy/Subsidies] Waste Information & Management Services, Inc. [read post]
24 Jun 2007, 10:18 am
The project collaborators include LENOWISCO, Sunset Digital Communications, Lee County, Lonesome Pine Regional Library, Appalachian Resources, LLC, Lane Engineering, and Pete Sumpter General Contractor, Inc. [read post]
20 Jul 2009, 4:00 pm
In addition to encouraging the growth of manufacturing jobs on the Brooklyn waterfront and across the five boroughs, the City is focusing on supporting industries where it has particular competitive advantages, including bioscience, fashion, financial services, green, media/technology, non-profit and tourism. [read post]
22 Jun 2011, 6:07 pm
Prospect, IL 60056-5788 AMERICAN SERVICE FINANCE CORPORATION DBA MERCHANTS INTERSTATE COLLECTION AGENCY 640 PLAZA DR STE 310 HIGHLANDS RANCH, CO 80129 AMERIQUEST RECOVERY SERVICES LLC 1845 HIGHWAY 93 SOUTH STE 310 KALISPELL, MT 59901 AMSHER COLLECTION SERVICES INC 600 BEACON PKY STE 300 BIRMINGHAM, AL 35209 APEX FINANCIAL MANAGEMENT LLC 1120 LAKE COOK RD BUFFALO GROVE, IL 60089 APOLLO CREDIT AGENCY INC DBA WESTERN… [read post]
22 Jun 2011, 6:07 pm
Prospect, IL 60056-5788 AMERICAN SERVICE FINANCE CORPORATION DBA MERCHANTS INTERSTATE COLLECTION AGENCY 640 PLAZA DR STE 310 HIGHLANDS RANCH, CO 80129 AMERIQUEST RECOVERY SERVICES LLC 1845 HIGHWAY 93 SOUTH STE 310 KALISPELL, MT 59901 AMSHER COLLECTION SERVICES INC 600 BEACON PKY STE 300 BIRMINGHAM, AL 35209 APEX FINANCIAL MANAGEMENT LLC 1120 LAKE COOK RD BUFFALO GROVE, IL 60089 APOLLO CREDIT AGENCY INC DBA WESTERN… [read post]
5 Feb 2016, 6:15 am by Adam Weinstein
One such issuance is Adageo Energy Partners, LP which according to SEC filings sought to raise $50 million and raised at least $31 million of that amount through brokerage firms including Direct Capital Securities, Inc., Madison Avenue Securities, Inc., WFP Securities, Inc., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset Financial Services,… [read post]