On September 11, 2013, the Securities and Exchange Commission, SEC, entered final judgments by consent against Owen Mark Williams and True North Finance Corporation, f/k/a CS Financing Corporation, in a Minnesota federal court, in a civil injunctive action, filed by the SEC on September 21, 2010. This judgment against Williams requires him to pay a […]

On September 11, 2013, the Securities and Exchange Commission, SEC, entered final judgments by consent against Owen Mark Williams and True North Finance Corporation, f/k/a CS Financing Corporation, in a Minnesota federal court, in a civil injunctive action, filed by the SEC on September 21, 2010. This judgment against Williams requires him to pay a […]

Lars Soreide, Esq., of Soreide Law Group is bringing claims on behalf of investors through the Financial Industry Regulatory Authority (FINRA), against Ken Miller for the sale of the Hennessey Fund f/k/a the Hennessey Fund also known as Capital Solutions. Ken Miller sold the Hennessey Fund while at NFP Securities, when he worked for NFP […]

Soreide Law Group is investigating claims into Kenneth R. Miller, who was selling the True North Fund while at NFP Securities. Kenneth Miller entered into an Acceptance, Waiver, and Consent ("AWC" 2011029137801) with the Financial Industry Regulatory Authority, also known as FINRA, for his role in the sale of the True North Fund a/k/a Hennessey […]

As it's prepares to go private with a sale to private-equity buyers, insurance broker and benefits roll-up firm National Financial Partners Corp. is facing hurdles created by its independent broker-dealer, NFP Advisor Services Group, writes Bruce Kelly in a recent article in InvestmentNews. There is a problem with the potential costly legal fallout from NFP […]