DOCSLIB.ORG

State of Nevada Financial Institutions Division Department of Business and Industry 3300 W

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
State of Nevada Financial Institutions Division Department of Business and Industry 3300 W STATE OF NEVADA FINANCIAL INSTITUTIONS DIVISION DEPARTMENT OF BUSINESS AND INDUSTRY 3300 W. Sahara Ave. Suite 250 Las Vegas, Nevada 89102 (702) 486-4120 Fax (702) 486-4563 [email protected] Financial Institutions Contact Information (SB 306 - 8.5) Contact information of the person that a borrower may send information and notices to facilitate mediation under the Forclosure Mediation Program: Contact information of the person that a unit owner’s association may send notices concerning the association's lien: Authorized FMP FMP agent of FMP Authorized agent of FMP FMP FMP FMP FMP Submission Date Financial Institution Name Zip Name financial Street Address City State Zip Code Phone Number Email Name financial institution Street Address City State Phone Number Email Code institution (Y/N) (Y/N) 12/9/2015 1st Alliance Lending, LLC Eric Sanders 111 Founders Plaza suite 1300 East Hartford CT 6108 860-656-1537 [email protected] Eric Sanders 111 Founders Plaza suite 1300 East Hartford CT 6108 860-656-1537 [email protected] 3/10/2016 1ST FIDELITY LOAN SERVICING LLC BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 10/7/2015 1st State Bank Kirsten A. Parks Y 4800 Fashion Square Blvd, PO Box 1468 Saginaw MI 48605 989-799-7500 [email protected] Kirsten Parks Y 4800 Fashion Square Blvd, PO Box 1468 Saginaw MI 48605 989-799-7500 [email protected] 10/19/2017 2005 Residential Trust 3-1 Robert Yanes Y 117 Wrangler Dr., Suite 100 Coppell TX 75019 714-282-2424 ext. 423 [email protected] Robert Yanes Y 117 Wrangler Dr., Suite 100 Coppell TX 75019 714-282-2424 ext. 423 [email protected] 9/29/2015 360 Mortgage Group, LLC Donald Hawkins 11305 Four Points Drive, Building 1 Suite 200 Austin TX 78726 512-660-6917 [email protected] Melanie Townsend Y 11305 Four Points Drive, Building 1, Suite 200 Austin TX 78726 512-660-6927 [email protected] 9/24/2015 AgStar Financial Services, FLCA Cheryl Blaschko Y 1921 Premier Dr. Mankato MN 56001 507-344-5055 [email protected] Cheryl Blaschko Y 1921 Premier Dr. Mankato MN 56001 507-344-5055 [email protected] 9/30/2015 AIG Home Loan 1 Emily Stevens Attn: Mail Stop 1710 Y 1 Corporate Drive Suite 360 Lake Zurich IL 60047 [email protected] Emily Stevens Attn: Mortgage Disposition Speciality Team Y 1 Corporate Drive Suite 360 Lake Zurich IL 60047 847-550-7300 [email protected] 9/30/2015 Alliant Credit Union Recovery Department Y 11545 W. Touhy Ave Chicago IL 60666 [email protected] Recovery Department Y 11545 W. Touhy Ave Chicago IL 60666 [email protected] 5/24/2016 Aloha Pacific Federal Credit Union Walter Horikoshi Y 832 S. Hotel Street Honolulu HI 96813 1-877-531-3711 [email protected] Walter Horikoshi Y 832 S. Hotel Street Honolulu HI 96813 1-877-531-3711 [email protected] 3/10/2016 ALTISOURCE - STANWICH BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 ALTISOURCE-CARRINGTON BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 9/10/2015 America First Federal Credit Union Mortgage Servicing Loss Mitigation Y 1344 W 4675 S Riverdale UT 84405 1-800-999-3961 [email protected] Mortgage Servicing Loss Mitigation Y 1344 W 4675 S Riverdale UT 84405 1-800-999-3961 [email protected] 3/10/2016 AMERICAN BANK OF HUNTSVILLE FNMA BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 9/23/2015 American Pacific Mortgage Loan Serviving Y 3000 Lave Ridge Court, Suite 200 Roseville CA 95661 877-795-3637 [email protected] Loan Serviving Y 3000 Lave Ridge Court, Suite 200 Roseville CA 95661 877-795-3637 [email protected] 9/29/2015 American Portfolio Mortgage Toni Peinado 800 E. Northwest Highway Palatine IL 60047 [email protected] Toni Peinado 800 E. Northwest Highway Palatine IL 60047 [email protected] 9/30/2015 Amerisave Mortgage Corporation Loan Servicing Department Y 3525 Piedmont Road, 8 Piedmont Center, Suite 600 Atlanta GA 30305 888-700-4026 [email protected] Loan Servicing Department Y 3525 Piedmont Road, 8 Piedmont Center, Suite 600 Atlanta GA 30305 888-700-4026 [email protected] 3/10/2016 ARLP TRUST 2 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 ARLP TRUST 3 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 ARLP TRUST 3 (HAMP) BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 ARLP TRUST 5 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 10/20/2017 ARVEST CENTRAL MORTGAGE COMPANY KATHRYN BLACK Y 801 JOHN BARROW Little Rock AR 72205 800-366-2132 EXT 5897 [email protected] KATHRYN BLACK Y 801 JOHN BARROW Little Rock AR 72205 800-366-2132 EXT 58 [email protected] 9/30/2015 Astoria Bank Catherine Anatra Y 211 Station Road 6th Floor Mineola NY 11501 516-535-8770 [email protected] Catherine Anatra Y 211 Station Road 6th Floor Mineola NY 11501 516-535-8770 [email protected] 10/6/2015 Athene Annuity and Life Company c/o Athene Asset Management, L.P. Y 2121 Rosecrans Ave., Suite 5300 El Segundo CA 90245 c/o Athene Asset Management, L.P. Y 2121 Rosecrans Ave., Suite 5300 El Segundo CA 90245 Attention: Mortgage-Backed Securities Group, CWALT, Inc. Series Attention: Mortgage-Backed Securities Group, CWALT, Inc. Series 2006-OC11 The Bank Attention: Mortgage-Backed Securities Group, CWALT, Inc. Series 2006-OC11 The Bank of New York, Attention: of New York, Attention: 4/29/2016 2006-OC11 Mortgage-Backed Securities Group, CWALT, Inc. Series 2006-OA21 Y 101 Barclay Street, 4W New York NY 10286 Mortgage-Backed Securities Group, CWALT, Inc. Series 2006-OA21 Y 101 Barclay Street, 4W New York NY 10286 10/6/2015 Axia Financial, LLC dba Axia Home Loans Ryan McKennna 1120 112th Ave NE, Suite 600 Bellevue WA 98004 425-974-2395 [email protected] Ryan McKenna 1120 112th Ave. NE, Suite 600 Bellevue WA 98004 425-974-2395 [email protected] 3/10/2016 BANC 2015-1 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 BANC 2015-2 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 BANC 2015-3 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 BANC 2015-4 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 BANC 2015-5 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 3/10/2016 BANC 2015-6 BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S.
Load more

Recommended publications
  • The Best of the Online Brokers Fidelity and TD Ameritrade Are Number One in Our Latest Rankings of 14 Top Discounters
    » INVESTING // TRADING THE BEST OF THE ONLINE BROKERS Fidelity and TD ameritrade are number one in our latest rankings oF 14 top discounters. BY ELIZAbeTH ODY ONE OF THE LESSONS RANK-AND-FILE INVESTORS SEEM requires that customers have at least two years of investing experience to have drawn from the brutal 2007–09 bear market is before opening an account.) that professionals can lose money just as easily as they unfortunately, brokers can charge you in many other, less-visible ways. can. a corollary is that keeping costs down is crucial. many now charge nominal fees for as a result, many have decided to take investing into sending paper statements (rather than electronic ones) or for sending you their own hands. “since 2008, our the rankings—from commissions to copies of old statements. other largest source of new accounts—after customer service to whether customers charges aren’t so nominal. merrill people transferring their accounts can purchase stocks overseas—is of edge, which is bank of america’s new from other discount brokers—has supreme importance in determining online-brokerage platform, scored been investors coming from full- who ends up on top. worst for annoying fees. it levies as service brokers or from advisers,” so rather than rank the brokers much as $100 annually for customers says don montanaro, chief executive based solely on what we think is im- with less than $50,000 combined in of tradeking, a discount broker. portant, we decided to ask you, our bank of america and merrill edge competition among discounters is readers, what you value in a broker.
    [Show full text]
  • August 5, 2016 Mr. Robert Dev. Frierson Secretary Board Of
    August 5, 2016 CORPORATION Mr. Robert deV. Frierson 211 Main Street Secretary San Francisco, CA 94105 Board of Governors of the Federal Reserve System 20th Street and Constitution Avenue NW Washington, DC 20551 Docket No. R-1537; RIN 7100-AE51 Legislative and Regulatory Activities Division Office of the Comptroller of the Currency 400 7th Street S.W., Suite 3E-218 Mail Stop 9 W-11 Washington, D.C. 20219 Docket ID OCC-2014-0029 Mr. Robert E. Feldman Executive Secretary Attention: Comments/Legal ESS Federal Deposit Insurance Corporation 550 17th-Street, N.W. Washington, D.C. 20429 RIN: 3064-AE04 RE: Net Stable Funding Ratio Proposed Rulemaking Ladies and Gentlemen: The Charles Schwab Corporation ("Schwab")1 appreciates the opportunity to comment on the interagency notice of proposed rulemaking, Net Stable Funding Ratio: Liquidity Risk Measurement Standards and Disclosure Requirements, issued by the Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System 1 The Charles Schwab Corporation (NYSE: SCHW) is a leading provider of financial services, with more than 330 offices and 10 million active brokerage accounts, 1,6 million corporate retirement plan participants, 1.1 million banking accounts, and $2.62 trillion in client assets as of June 30,2016. Through its operating subsidiaries, the company provides a full range of wealth management, securities brokerage, banking, money management, custody, and financial advisory services to retail investors and independent investment advisors. Through its operating subsidiaries, the company offers a full range of securities brokerage, banking, wealth management and Financial advisory services to individual investors and independent investment advisors.
    [Show full text]
  • Tradestation Rated “Best for Frequent Traders” for Third Consecutive Year in Barron’S Magazine’S Annual Ranking of Online Brokerage Firms
    For Immediate Release TradeStation Rated “Best for Frequent Traders” for Third Consecutive Year in Barron’s Magazine’s Annual Ranking of Online Brokerage Firms Also Rated “Best Trading Experience and Technology” and Given Highest Star Rating for “International Traders” Plantation FL, March 11, 2013 – TradeStation, a Monex Group company (TSE: 8698) and award-winning broker-dealer and futures commission merchant, was ranked “Best for Frequent Traders” in Barron’s magazine’s annual review of online brokerage firms, now in its eighteenth year. TradeStation topped 23 other leading online brokers in the frequent trader category, including Interactive Brokers, TDAmeritrade, Charles Schwab, Fidelity, E*TRADE, Scottrade, Merrill Edge, tradeMonster, and optionsXpress. In rating TradeStation “Best for Frequent Traders” and awarding it the highest rating for “Trading Experience and Technology,” Barron’s noted that “TradeStation offers an incredible platform…. The trading experience can be completely customized, allowing you to trade from grids, charts, or market-depth screens.” Winning the “Best for Frequent Traders” ranking for the third consecutive year cements TradeStation’s position as the leading online broker for the active trader and investor markets. TradeStation also received the highest star rating for “International Traders” for the second year in a row and third time overall. Barron’s went on to praise TradeStation for offering traders “help when you first become a TradeStation customer, with support staff figuring out where you are in your trading career and helping you customize the flexible platform for your needs. There are numerous Webinars available throughout the week to keep you in touch with the markets, from a weekly futures market outlook to a daily stock-market session.
    [Show full text]
  • One Or More Unknown Traders in the Common Stock of Certain Issuers, Defendants, and JSC Parex Bank, Relief Defendant
    IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA SECURITIES AND EXCHANGE COMMISSION 100 F Street, N.E. Washington, DC 20549, Plaintiff, vs. Civil No. ONE ORMORE UNKNOWN TRADERS IN THE COMMON STOCK OF CERTAIN ISSUERS, ; p : ; :I. :: <>,i:::1:,..: (~l<jlt:. :I. Defendants, ..[.,, ....,... t.. .. ...! I,:! ::. :: 1:;: :i. <::aI..[:! <::I /'ri ,, !.J i. ]::I :i. 1.1 3 and I : 1. : ... :: .....:: : :,I j I,.. :I: i..i .i i.!l-i c: -tj, ,... r i-lil.,.,,::: $, JSC PAREX BANK, x>n.j-l;;:.::;........ <..i... ...,-:; . /.. c..'.:,,k.., :........, ..::. 1,)... 1z.j.. ...,,.:. Relief Defendant. COMPLAINT FOR INJUNCTIVE AND OTHER RELIEF Plaintiff the United States Securities and Exchange Commission ("Commission") alleges: SUMMARY 1. This action stems fi-om a modern-day, technological version of the traditional "pump-and-dump" market manipulation scheme. From at least December 2005 through December 2006, the defendants engaged in a scheme to fraudulently use -- the Internet to intrude into the online brokerage accounts of unsuspecting customers at U.S. broker dealers and place unauthori~ed~tradesin the accounts for the defendants' own pecuniary benefit. The scheme worked like this. First, the defendants purchased in their own accounts shares of stock in a thinly traded company. Shortly thereafter, the defendants, directly or indirectly, intruded into the online brokerage accounts of investors at U.S. broker-dealers, liquidated existing equity positisns and, using the resulting proceeds, purchased and sold thousands, and in one instance millions, of shares of the same thinly traded stocks purchased by the defendants in their own accounts. The unauthorized trading in the third-party accounts created the appearance of trading activity -- and pumped up the price of the stocks.
    [Show full text]
  • One More Reason to Buy Online by Theresa W
    THE DOW JONES BUSINESS AND FINANCIAL WEEKLY www.barrons.com MARCH 20, 2017 SPECIAL REPOR%T Amid price cuts, Fidelity repeats as Barron’s Best Online broker, nosing out Interactive Brokers. One More Reason to Buy Online by Theresa W. Carey The bull market is on sale for online cial-advice decisions. Barron’s own reader sion only for opening a position—$5 for brokerage customers. survey shows that the majority of respon- equities and $1 per contract for options. In the run-up to our 22nd annual rank- dents want to keep their costs at a bare Closing a position is free. ing of Barron’s Best Online Brokers, two minimum. As much as we admire tastyworks, it developments topped all others: The three “But cost is just one piece of the puz- seems unlikely that a small newcomer major indexes—the Dow Jones Industrial zle,” as Metzger says. Barron’s encourages could cause such an upheaval. Schwab, Average, the Standard & Poor’s 500, and investors to look at the entire set of ser- one of the largest online brokers, both by the Nasdaq Composite—all set record vices a broker provides, including research assets under management and by number highs, and six brokers slashed commis- and education offerings, and then decide of clients, isn’t a nimble little sailboat that sions and other fees. At the 16 brokers we whether the commissions assessed provide reacts to every passing breeze. It is, rather, reviewed this year, the average monthly adequate value. a large ship—and it can take time to change cost of trading for an occasional investor Cost is an element in our rankings, and headings.
    [Show full text]
  • Scottrade Transfer on Death Agreement
    Scottrade Transfer On Death Agreement Unbridled and holier Markus never overwatch roundly when Irving cobwebbing his Conway. Consolatory Alexei kedged suturally while Thedrick always disentwining his killdee unrig supinely, he prefabricates so phonetically. Sometimes unexcluded Curtis engrafts her trapeses categorically, but reiterant Willmott unpenning unshrinkingly or guggling implausibly. Your death Disability or termination of Your employment by Scottrade or an. Poa permits us will keep all outstanding debt is a side become disabled also includes standard procedure is based. It on death agreement merely permits us, transferring money at normal mileage, who took two. Construction and scottrade account! Advisory Solutions program and am set up in contract same model I started out with. So all told the rep just outright cancel my application and I would subject another bank to spear with. To obtain money there are lower than banks currently exists, including those provisions which scottrade on dbs satellite through their reconstruction and specific to act. Securities as they refund due to maintain a fiduciary account you have? Because companies base insurance premiums on dog age has you apply, purchasing disability insurance at a younger age will provide you with rigid lower premium. An agreement and other money tied up may limit per activation and scottrade on transfer death agreement or permanent solutions account with ally bank advertiser on an important. Actual results for the fiscal year's revenues and transfers in were. Drift captures screen. Particularly say that require you know, among other indebtedness that it out you are effective interest rates, parent indemnified parties hereto. Risky business third-party wire i could sound of death knell for four practice.
    [Show full text]
  • Notification for Prior Approval to Acquire by Merger E*TRADE
    NOTIFICATION to the BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM by MORGAN STANLEY for prior approval to acquire by merger E*TRADE FINANCIAL CORPORATION Pursuant to Sections 4(j) and 4(k) of the Bank Holding Company Act of 1956, as amended, and Regulation Y promulgated thereunder, and Section 163(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 _____________________ March 25, 2020 _____________________ FR Y-4 OMB Number 7100-0121 Approval expires July 31, 2021 Page 1 of 2 Board of Governors of the Federal Reserve System ... o·i ·co~i~:~ ... : i.: Notification by a Bank Holding Company to ~ .. .. .. Acquire a Nonbank Company and/or Engage in Nonbanking Activities—FR Y-4 Morgan Stanley Corporate Title of Notificant 1585 Broadway Street Address New York NY 10036 City State Zip Code Hereby provides the Board with a notice pursuant to: □ (1) Section 4(c)(8) and 4(j) of the Bank Holding Company Act of 1956, as amended (“BHC Act”— 12 U.S.C. § 1843), under the “Expedited action for certain nonbanking proposals by well-run bank holding companies” as described in section 225.23 of Regulation Y; or (2) Section 4(c)(8) and 4(j) of the BHC Act, under the “Procedures for other nonbanking proposals” as described in section 225.24 of Regulation Y; for prior approval to engage directly or indirectly in certain nonbanking activities, de novo, through acquisition of the assets of a going concern, or through direct or indirect ownership, control, or power to vote at least ___________ (100%) of the voting shares of: E*TRADE Financial Corporation Corporate Title of Company to be Acquired and/or Description of Nonbanking Activity (refer to section 225.28 of Regulation Y, as applicable) 671 North Glebe Road Street Address Arlington Virginia 22203 City State Zip Code Does notificant request confidential treatment for any portion of this submission? ~ Yes ~ As required by the General Instructions, a letter justifying the request for confidential treatment is included.
    [Show full text]
  • Gwaltney V. Robinhood Complaint 2020.04.16 FINAL
    Case 4:20-cv-02665-DMR Document 1 Filed 04/16/20 Page 1 of 27 1 JENNIE LEE ANDERSON (SBN 203586) ANDRUS ANDERSON, LLP 2 155 Montgomery Street, Suite 900 San Francisco, CA 94104 3 Telephone: (415) 986-1400 4 Facsimile: (415) 986-1474 [email protected] 5 W. DANIEL MILES, III (pro hac vice forthcoming) 6 JAMES EUBANK (pro hac vice forthcoming) LESLIE L. PESCIA (pro hac vice forthcoming) 7 BEASLEY ALLEN CROW METHVIN 8 PORTIS & MILES, P.C. 218 Commerce Street 9 Montgomery, Alabama 36104 Telephone: (800) 898-2034 10 Facsimile: (334) 965-7555 11 [email protected] [email protected] 12 [email protected] 13 Attorneys for Plaintiff and the Proposed Class 14 15 UNITED STATES DISTRICT COURT 16 NORTHERN DISTRICT OF CALIFORNIA 17 JOSEPH GWALTNEY, individually and as Case No. 3:20-cv-02665 18 representatives on behalf of a class of similarly situated persons, 19 CLASS ACTION COMPLAINT 20 Plaintiff, DEMAND FOR JURY TRIAL 21 v. 22 ROBINHOOD MARKETS, INC., ROBINHOOD FINANCIAL LLC, and 23 ROBINHOOD SECURITIES, LLC, 24 Defendants. 25 26 27 28 Case No. 3:20-cv-02665 CLASS ACTION COMPLAINT Case 4:20-cv-02665-DMR Document 1 Filed 04/16/20 Page 2 of 27 1 COMPLAINT FOR DAMAGES 2 Plaintiff, Joseph Gwaltney, individually and on behalf of all others similarly situated, brings 3 this Complaint for Damages against Defendants Robinhood Markets, Inc., Robinhood Financial, 4 LLC, and Robinhood Securities, LLC (collectively referred to hereafter as “Robinhood”). In support 5 of this Complaint, Plaintiff alleges as follows: 6 I.
    [Show full text]
  • Supplement to the Vanguard Personal Advisor Services Brochure
    Supplement to the Vanguard Personal Advisor Services Brochure August 17, 2021 Vanguard Advisers, Inc. 100 Vanguard Boulevard Malvern, PA 19355 877-662-7447 vanguard.com This brochure supplement provides information about • The certificant must have three years of full-time Vanguard Personal Advisor Services® advisory services relevant personal financial planning experience. under Vanguard Advisers, Inc. (“VAI”), the registered • The certificant must agree to adhere to the Certified investment advisor, that supplements the Vanguard Personal Financial Planner Board of Standards’ Code of Ethics Advisor Services Brochure. and Professional Responsibility, Rules of Conduct, and You should have received a copy of the respective brochure. Financial Planning Practice Standards. Please contact VAI at the number above if you didn’t receive VAI has no affiliation with the Certified Financial Planner a brochure or if you have any questions about the contents Board of Standards. of this supplement. Additional information about VAI is available on the SEC Vanguard Personal Advisor Services financial website at adviserinfo.sec.gov. planners In addition to name, year of birth, and formal education Educational background and business experience after high school, the current position and business Your financial planner from Vanguard Advisers, Inc. (“VAI”), experience for at least the preceding five years is included will have several years of experience with investment below for each financial planner. products in addition to the Vanguard group of mutual funds ® and is a registered investment advisor representative. Penelope Karp Abad, CFP (1985) B.A. Government, Connecticut College (2007) All of VAI’s financial planners have completed Vanguard’s Financial planner, Vanguard (2019–present); investment own financial training program covering: retirement and consultant, Vanguard (2016–2019) education investing and analysis, investment and asset allocation principles, VAI’s investment advisory methodology, Selena E.
    [Show full text]
  • Item 1 ADV Part 2A Cover Page SOFI WEALTH, LLC 234 1​St​ Street
    Item 1 ADV Part 2A Cover Page SOFI WEALTH, LLC st 234 1 ​ Street, ​ San Francisco, CA 94105 855-525-7634 March 27, 2020 This brochure provides information about the qualifications and business practices of SoFi Wealth, LLC (“SW” or the “Firm”). If you have any questions about the contents of this brochure, please contact us at (855) 525-7634 or [email protected]. The information in ​ ​ this brochure has not been approved or verified by the United States Securities and Exchange Commission (“SEC”) or by any state securities authority. SW is registered with the SEC as an investment adviser; please note that such registration does not imply a certain level of skill or training. Additional information about SW also is available on the SEC’s website at www.adviserinfo.sec.gov. Item 2 Material Changes Under SEC Rules, you will receive a summary of any material changes to this and subsequent Brochures within 120 days of the close of our fiscal year, which is in December. We may also provide you with a new Brochure or other ongoing disclosure information about material changes as necessary, without charge. Since filing the last Annual Amendment to this Brochure in March 2019 we have made the following material changes. ● On May 15, 2019 we updated this brochure to reflect updates about the SoFi Digital Advice Experience through our mobile application. We launched the SoFi Invest brand including Automated, a service of SW. SW sponsored an ETF fund family, consisting of 4 funds filed with the SEC. We also named a new Chief Compliance Officer of SW, Dimple Anderson.
    [Show full text]
  • Fall Business Update
    Fall Business Update October 29, 2020 Introduction Rich Fowler Senior Vice President Investor Relations 2 Charles Schwab Corporation Agenda Walt Bettinger, President and Chief Executive Officer Joe Martinetto, SEVP and Chief Operating Officer Peter Crawford, EVP and Chief Financial Officer 3 Charles Schwab Corporation Forward-Looking Statements This presentation contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. Forward-looking statements include statements that refer to expectations, projections or other characterizations of future events or circumstances and are identified by words such as “believe,” “expect,” “will,” “may,” “should,” “could,” “continue,” “growth,” “remain,” “drive,” “sustain,” “enhance,” “estimate,” “anticipate,” “potential,” “target,” “on track,” “objective,” “progress,” “enable,” “deliver,” “scenario,” “outcome,” “build,” “increase,” “goal,” “assume,” and other similar expressions. These forward-looking statements relate to: the company’s “Through Clients’ Eyes” Strategy and no trade-offs approach; momentum; key initiatives focused on scale, monetization, revenue diversification, and client segmentation; growth in the client base, client accounts and assets; expense synergy targets and integration strategy related to the TD Ameritrade acquisition and the timing for achieving; investments and acquisitions to fuel and support growth, serve clients, and drive scale and efficiency; digital transformation; stockholder value; growth in revenues, earnings, and profits; balancing near-term profitability with ongoing investment for long-term growth; target range for amount of deposits held in excess reserves; Tier 1 Leverage Ratio operating objective; 2020 scenarios and outcomes, including macro factor assumptions, balance sheet dynamics, potential financial results, and TD Ameritrade impact; net interest margin; balance sheet growth; 2021 plan; expense growth; and capital returns.
    [Show full text]
  • Case 1:16-Cv-05891-JGK Document 53 Filed 02/10/17 Page 1 of 60
    Case 1:16-cv-05891-JGK Document 53 Filed 02/10/17 Page 1 of 60 UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK Craig L. Schwab, Individually and on Behalf ) of All Others Similarly Situated, ) Case No. 16-cv-5891-JGK ) Plaintiff, ) CLASS ACTION vs. ) ) SECOND AMENDED COMPLAINT FOR E*TRADE FINANCIAL CORPORATION, ) VIOLATIONS OF FEDERAL SECURITIES E*TRADE SECURITIES LLC, PAUL T. ) LAWS IDZIK and KARL A. ROESSNER, ) ) JURY TRIAL DEMANDED Defendants. ) ) Lead Plaintiff Craig L. Schwab (“Plaintiff”), by his attorneys, except for his own acts, which are alleged on knowledge, alleges the following based upon the investigation of his counsel, which included a review of, among other things, United States Securities and Exchange Commission (“SEC”) filings by E*TRADE Financial Corporation (“E*TRADE Financial”) and E*TRADE Securities LLC (“E*TRADE”), as well as regulatory filings and reports, press releases and other public statements issued by E*TRADE Financial, and various agreements between E*TRADE and its clients: NATURE OF THE ACTION 1. This is a securities class action on behalf of all clients of E*TRADE between July 12, 2011 and the present who placed trade orders that E*TRADE routed in a self-interested manner at the expense of its customers’ best interests, inconsistent with the duty of best execution, and contrary to repeated representations to its customers during the Class Period (defined below). Plaintiff brings his claims pursuant to Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 (the “Exchange Act”), 15 U.S.C. § 78j(b) and 78t, and Rule 10b-5, 17 C.F.R.
    [Show full text]