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On October 19th and 20th. The General Insurance Standards Council, the current regulator, says that it has no interest in a “fishing expedition” in the absence of a complaint. It is more likely, then, that the Financial Services Authority.

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State lawmakers, as well as opponents of the request by Dominion Energy, staked out their positions in a written filing with PURA on. The new report from Energyzt Advisors, claims there are alternatives for Connecticut to meet its.

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SPRINGFIELD — Morgan Stanley offices in Massachusetts and Rhode Island held in-office sales contests among financial advisors to encourage clients to take out loans against their accounts, according to a complaint filed.

That leaves investors like Haus vulnerable to a small group of brokerages that regularly hire advisors with blemishes. payments by firms to settle customer complaints. They also include brokers’ personal financial troubles, such as.

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When Fox News president Roger Ailes fired his close advisor Brian Lewis last year, the channel claimed—via a series of coordinated leaks to Fox-friendly outlets—that Lewis was terminated over “financial. to Domal’s complaint by.

Under the settlement, newly enrolled students in online courses shall be permitted to withdraw without financial penalty within 21 days. schools not related to student loans can continue to file complaints, with the Indiana Commission.

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More than $4 Million in Restitution Ordered to Affected Customers. WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has.

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The lawsuit filed by more than two dozen individuals, mostly in the Carolinas, seeks compensatory and punitive damages from Stephen Maiden and SS&C Fund Services, part of a Connecticut-based financial services company. The.

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The independent broker-dealer, Cetera Advisor Networks, has been named as a co-defendant. passively managed index funds being also made available,” according to the complaint. A spokesman for Checksmart didn’t return a request for.

The class action, filed in United States District Court, for the District of Connecticut. as well as a range of financial.

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ADP released a statement Tuesday in which it took issue with Ackman’s Monday filing of an 18-page filing with proxy advisor Institutional Shareholder. "ADP will be submitting a complaint with the SEC regarding Mr. Ackman’s false.

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