Search for: "AWC Holding Company"
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25 Sep 2010, 7:53 am
In the past two weeks, I've received a few calls from brokers who have received "Wells" letters and proposed AWCs from FINRA Enforcement, relating to the brokers' alleged involvement with sales of universal leases offered years ago by Resort Holdings and Yucatan Holdings. [read post]
24 Apr 2015, 4:07 pm
A UIT is a type of investment company that issues securities representing an undivided interest in a portfolio of securities. [read post]
26 May 2015, 11:32 am
In 2007, LPL Financial Holdings, Inc., LPL’s parent company, expanded LPL’s broker-dealer business by acquiring other financial services firms and recruiting registered representatives from other broker-dealers. [read post]
11 Nov 2015, 12:31 pm
Williams’ participation in the transactions included responding to customer requests related to investments in a company, authorizing wire transfers of funds from customer accounts at the firm to the company, and manually adding customers’ outside company holdings to consolidated statements that were sent to the customers. [read post]
4 Jun 2015, 10:53 am
According to the AWC, the suspensions are in effect from March 2, 2015, through September 1, 2016. [read post]
17 Apr 2015, 10:35 am
Turner & Company, LLC for failing to supervise consolidated reports. [read post]
5 Apr 2023, 7:14 pm
Berthel, Fisher and Company Financial Services Inc. [read post]
4 Aug 2017, 7:59 am
The company was founded in 1992 is based in Menlo Park, California. [read post]
19 Sep 2018, 9:44 am
The emails included information regarding the customers’ assets, securities holdings, and financial goals. [read post]
1 Aug 2017, 8:11 am
The company was founded in 1992 is based in Menlo Park, California. [read post]
20 Dec 2021, 12:45 pm
IPOs, Pre-IPO Offerings, And SPACs Stock IPOs, pre-IPO offerings, and SPACs are often touted by stockbrokers and financial advisers as holding tremendous potential for investors to make money with a company that has a bright future ahead of it. [read post]
10 Jul 2017, 12:59 pm
As of January 1, 2015, Merrill Lynch, Pierce, Fenner & Smith Incorporated operates as a subsidiary of BAC North America Holding Company. [read post]
13 Dec 2019, 11:58 am
We finally did a 3-way call with the company & were on hold 20+ minutes. [read post]
5 Apr 2011, 5:37 am
However, a number of entities, including the Maryland Public Service Commission, Deepwater Wind Holdings, Fishermen’s Energy, APPA and others objected to AWC’s request, prompting an Answer by AWC. [read post]
12 Sep 2011, 7:23 am
The company is now known as JHS Capital Advisors Inc. and is under new management. [read post]
12 Sep 2011, 7:23 am
The company is now known as JHS Capital Advisors Inc. and is under new management. [read post]
12 Sep 2011, 7:28 am
The company is now known as JHS Capital Advisors Inc. and is under new management. [read post]
29 Jul 2020, 9:04 am
(CRD #17499, Atlanta, Georgia) An AWC was issued in which the firm was censured, fined $50,000 and ordered to pay $584,466.13 in restitution to customers. [read post]
17 Jun 2020, 10:25 am
When an investor sells a UIT before its maturity date and rolls it over to another UIT, they have to pay greater sales charges than if they hold it to maturity. [read post]
26 Jan 2018, 5:50 am
Indeed, the average holding period for the UITs purchased in these customers’ accounts was 202 days. [read post]
