According to an article in today's Atlanta Journal Constitution, Rhea Dignam was named the regional chief for the Securities Exchange Commission. Ms. Dignam will be working from the Atlanta-based regional office and she will oversee the office's enforcement and examination activities for the five-state region of the Southeast. According to the article, she is replacing Katherine Addelman, who left the position to enter private practice.
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Mar 17, 10 12:05 PM Warning: Estate Planning Seminars Used to Scam Retirees According to the Securities and Exchange Commission (SEC), USA Retirement Management Services (USARMS), managed by...
Mar 15, 10 02:22 PM Georgia Supreme Court Rules Against Georgia Natural Gas The Doss Firm is pleased to announce a favorable decision issued by the Georgia Supreme...
Feb 23, 10 06:00 PM The Doss Firm, LLC Sues Ameriprise Over Unsuitable Sales of Reverse Convertible Notes To Elderly Couple On February 16, 2010, Financial Industry Regulatory Authority (FINRA) fined H&R Block Financial Advisors, Inc.,...
Feb 23, 10 10:21 AM Former Merrill Lynch Financial Adviser Pleads Guilty In Investment Scheme According to The Star-Ledger, Stephen Severio, a former Merrill Lynch financial adviser has plead guilty...
Feb 19, 10 03:05 PM The Doss Firm, LLC Is Investigating Claims Against Ameriprise Financial f/k/a H&R Block Financial Advisors For Unlawful Sales of Reverse Convertible Notes The Doss Firm, LLC is currently investigating whether Ameriprise Financial f/k/a H&R Block Financial Advisors...
Feb 17, 10 02:23 PM FINRA Fines H&R Block Financial Advisors n/k/a Ameriprise Financial and Andrew MacGill In Connection With Improper Sales of Reverse Convertible Notes FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc....
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