Search for: "Independent Financial Group LLC"
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13 Sep 2022, 11:07 am
his matter reportedly originated from FINRA’s Trading and Financial Compliance Examinations Group’s identification of the issue through the group’s review of OTC exercise limits. [read post]
12 Jan 2012, 7:37 am
Certainly, this is a huge step for Raymond James in the growth of its business and continues the trend of mergers and acquisitions amongst the independent broker-dealers. ****************** The White Law Group, LLC is a national securities fraud, securities arbitration, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
11 Jan 2012, 12:45 pm
Department of Labor's Occupational Safety and Health Commission to Sand Cut Properties LLC, a Danbury, Conn., contractor. [read post]
25 Apr 2019, 11:59 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Corp Boggs, Marcus Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America… [read post]
3 Dec 2019, 1:02 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
7 May 2024, 7:35 am
The group serves 11,000 independent brokers through the following firms, managing $500 billion in client assets. [read post]
27 Apr 2022, 9:59 am
GWG and its subsidiaries, GWG Life, LLC and GWG Life USA, LLC, have filed voluntary Chapter 11 petitions in the U.S. [read post]
30 Dec 2021, 4:22 am
Financial advisors should have their client’s best interest as a first priority. [read post]
12 Dec 2019, 6:56 am
In Principle Solutions Group, LLC v. [read post]
4 Aug 2020, 7:01 am
In Seila Law LLC v. [read post]
22 Aug 2021, 2:12 pm
ESG has become such a large component of my law practice that I am now collaborating with a fabulous group attorneys in ESG Legal Solutions, LLC, a new non-law consulting firm. [read post]
20 Jun 2014, 5:00 am
As of December 31, 2013, The Chernin Group, LLC, for which Mr. [read post]
20 Jun 2014, 5:00 am
As of December 31, 2013, The Chernin Group, LLC, for which Mr. [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
6 Oct 2009, 9:24 am
LLC, National Securities Corp. and Next Financial Group. [read post]
28 Apr 2018, 1:00 am
You know whether or not, that is, in fact, your firstborn or if it’s somebody completely independent. [read post]
10 Apr 2018, 8:18 am
In calculating the NAV, CCPT IV’s advisor relied in part on estimates provided by Duff & Phelps, LLC, an independent consultant and service provider to the real estate industry. [read post]
15 Aug 2021, 3:35 pm
ESG has become such a large component of my law practice that I am now collaborating with a fabulous group attorneys in ESG Legal Solutions, LLC, a new non-law consulting firm. [read post]
26 Apr 2019, 7:16 am
For example, high-net-worth couples can benefit from having a financial specialist conduct an independent analysis of the family’s finances and make recommendations from a neutral perspective. [read post]
11 Apr 2013, 9:37 am
Mercedes-Benz Financial Services USA LLC (7/30/12) 208 Cal.App.4th 26, review granted 10/24/12 and briefing deferred pending Iskanian v. [read post]
