Search for: "Independent Financial Group LLC"
Results 81 - 100
of 998
Sorted by Relevance
|
Sort by Date
30 Jun 2020, 7:48 am
According to BrokerCheck, Talebi then worked for Independent Financial Group, LLC, of Sherman Oaks, CA. [read post]
21 Apr 2016, 11:12 am
Cetera Financial Group, which is a broker-dealer holding company of RCAP, is expected to emerge as an independent company following the bankruptcy.Particular holding companies of the broker-dealers within the Cetera network of 9,100 advisors are guarantors of RCAP’s debt. [read post]
22 Apr 2016, 3:49 pm
Have you suffered investment losses in APX Energy, LLC? [read post]
26 Aug 2018, 7:59 pm
Cetera Financial Group is comprised of six independent brokerage firms with approximately 8,000 brokers and advisers, including Cetera Advisors, Cetera Advisors Network, First Allied Securities, Cetera Financial Institutions, Summit Financial Services, and Cetera Financial Specialists. [read post]
22 Dec 2015, 1:34 pm
According to OnWallStreet, the Securities and Exchange Commission have accused Donald Toomer, an independent financial advisor with Wells Fargo’s FiNet, of participating in a pump-and-dump scheme. [read post]
8 Dec 2015, 3:58 am
., PHH Mortgage Corporation, PHH Home Loans LLC, RMR Financial LLC, NE Moves Mortgage LLC, PHH Broker Partner Corporation, REALOGY GROUP LLC, REALOGY Intermediate Holdings, Title Resources Group LLC, West Coast Escrow Company, TRG Services Escrow Inc., NRT LLC, REALOGY Services Group LLC, and REALOGY Services Venture Partner LLC in United States District Court for the Central District of… [read post]
25 Jan 2011, 6:10 pm
Other defendants listed include National Securities, Next Financial Group and QA3 Financial Corp. [read post]
2 Dec 2019, 3:26 am
According to the complaint, the same ownership group then formed a third company called MayaDean LLC “intended to serve as a holding company for the restaurants and the valuable ‘Jack’s Wife Freda’ trademarks. [read post]
30 Jan 2016, 12:29 pm
Finally, since April 2012, Zimmerman has been associated with Independent Financial Group, LLC out of the firm’s San Diego, California office location. [read post]
5 Feb 2024, 6:10 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Wenjinn Chang (Chang), currently associated with Independent Financial Group, LLC (IFG), has been subject to at least two customer complaints during his career. [read post]
24 Dec 2019, 9:12 am
Shimson Plotkin (CRD: 2431863) is a currently registered broker and investment advisor who is currently employed with Independent Financial Group, LLC (CRD#: 7717) of Chevy Chase, MD. [read post]
23 Mar 2023, 7:26 am
His previous employers were Western International Securities (CRD# 39262) of Westlake Village, CA, Independent Financial Group, LLC (CRD# 7717) of Sherman Oaks, CA, and Royal Alliance Associates, Inc. [read post]
27 Sep 2018, 10:01 am
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 Vero Beach, Florida. [read post]
2 Jul 2018, 11:30 am
Kim first entered the securities industry in 1997, and most recently was affiliated with Independent Financial Group, LLC (CRD# 7717) from 2006 – 2016 and, thereafter, Sandlapper Securities, LLC (CRD# 137906) from March 2016 – April 2017. [read post]
2 Dec 2019, 11:29 am
The post GPB Holdings II: Further Delays in Financial Report Audits appeared first on The White Law Group. [read post]
28 Aug 2022, 9:45 am
Through May 2012 through July 2017, Serizawa was registered with Independent Financial Group, LLC. [read post]
27 Jul 2021, 7:04 am
(IRT) appeared first on The White Law Group. [read post]
4 Jun 2018, 6:30 am
Concorde Investment Services, LLC Independent Financial Group, LLC Jeffrey Michael Johnson Morgan Stanley Raymond James & Associates, Inc Rick Douglas Konency National Securities Corporation J.P. [read post]
28 May 2019, 1:58 pm
His previous employers include Financial Telesis Inc (CRD#: 31012) and Financial West Group (CRD#: 16668), both of Westlake Village, CA, and Sentra Securities Corporation (CRD#: 10249) of Phoenix, AZ. [read post]
13 Dec 2019, 6:39 am
Repple & Co., International Assets Advisory, Gramercy Securites, Kalos Capital, Lucia Securities, Lion Street Financial, The Strategic Financial Alliance, United Planner’s Financial Services. [read post]
