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14 Nov 2023, 9:01 pm
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
10 Nov 2023, 8:25 am
His prior employer was Wells Fargo Clearing Services, LLC (CRD#:19616), also of Tucson. [read post]
10 Nov 2023, 7:44 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
10 Nov 2023, 7:29 am
John Terzis (John Nicholas Terzis CRD# 1805020) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. [read post]
9 Nov 2023, 9:01 pm
For individuals, the compliance costs could be disproportionately large relative to their financial activity. [read post]
9 Nov 2023, 6:29 am
His previous employers include UBS Financial Services Inc. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
8 Nov 2023, 9:24 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
8 Nov 2023, 5:46 am
The claim further alleges that Center Street Securities unsuitably invested its client in high-risk alternative investments including the following: ICAP Equity Income Fund (ETF) E2C ESA Bond 1, LLCMCG Preferred Opportunity Fund, LLC The claim seeks damages of $100,000.01 and $300,000. [read post]
6 Nov 2023, 11:00 am
According to this FINRA BrokerCheck report, Jason Jodway was affiliated with the following firms during his career, among others: 11/08/2019 – 12/13/2019, ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272), WATERFORD, MI, B, 09/14/2016 – 12/01/2017, SECURIAN FINANCIAL SERVICES, INC. [read post]
3 Nov 2023, 10:39 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 Seattle, Washington. [read post]
2 Nov 2023, 3:47 pm
Mississippi Silicon Holdings, LLC v. [read post]
2 Nov 2023, 9:04 am
Access to Reported Information FinCEN will store the BOI reported under the CTA in a secure, nonpublic database referred to as the Beneficial Ownership Secure System (“BOSS”). [read post]
2 Nov 2023, 6:55 am
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]
1 Nov 2023, 9:01 pm
The JFTC’s investigation appears to have been prompted by an earlier investigation by Japan’s Financial Services Agency into a suspected breach of insurance rules. [read post]
1 Nov 2023, 12:38 pm
For a free consultation with a securities attorney, please call (888) 637-5510.The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
30 Oct 2023, 1:15 pm
The Securities and Exchange Commission charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
26 Oct 2023, 12:50 pm
For a free consultation with a securities attorney, please call (888) 637-5510.The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
25 Oct 2023, 10:04 pm
LLC owners that take advantage of pass-through taxation could be subject to Social Security and Medicare taxes, which are also known as self-employment taxes. [read post]
25 Oct 2023, 12:36 pm
The Securities and Exchange Commission charged BlackRock Advisors, LLC, an investment adviser, for failing to accurately describe investments in the entertainment industry that comprised a significant portion of a publicly traded fund it advised. [read post]
