Wednesday, July 28, 2021

TOPICS

Home Tags William Galvin

Tag: William Galvin

Baker administration estimates vaping ban costing stores up to $8M in...

PROVIDENCE – A three-month ban on retail nicotine and marijuana vaping products in Massachusetts has the potential to cost private businesses $7 million to...

R.I. man charged with defrauding investors in Ponzi scheme

PROVIDENCE – David Wagner of East Greenwich and Downing Partners LLC and its subsidiaries have been charged with defrauding investors out of millions of dollars. Separate...
FINANCIAL SERVICES FIRM LPL Financial has agreed to pay a settlement of $26 million for illegally selling unregistered, nonexempt securities since October 2016. The company reached the settlement April 30 with Massachusetts and Alabama, which were lead investigators in the matter, and the North American Securities Administrators Association.

Firm reaches settlement, buy-back plan for illegal sale of securities

PROVIDENCE – The financial services firm LPL Financial LLC has agreed to pay a settlement of $26 million for illegally selling unregistered, nonexempt securities...

Stay up to date with PBN's Morning Call & Daily Edition newsletters.

- Featured Event -

Latest News

One week only, get full access to all articles on PBN.com when you create a complimentary account.

 

Register today >>

Register to read all articles free - This week only!

CLOSE

One week only, get full access to all articles on PBN.com when you create a complimentary account.

Sign-up to get the

PBN Daily Edition

A collection of all the published news of the last 24 hours, as well as selected features from PBN’s weekly print edition.

By submitting the form you agree to PBN's Privacy Policy and Terms of Use.

We’re glad you are enjoying PBN.