Search for: "Brooke Capital Advisors, Inc."
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11 Oct 2016, 6:24 am
From the Desk of Jim Eccleston at Eccleston Law LLC: In 2013, Cedar Brook Financial Partners, Michael Perlmuter, Howard Slater, and Azim Nakhooda had their securities licenses suspended and were fined after FINRA alleged that they made false statements about the safety of high-risk funds such as Medical Capital Holdings, Inc. [read post]
4 Dec 2009, 12:29 pm
District Court for the Northern District of Texas against Cedar Brook Financial Partners, LLC; Next Financial Group, Inc.; QA3 Financial Corp. and Securities America, Inc. for their role in recommending these investments to their brokerage clients. [read post]
25 May 2017, 5:04 am
Our firm is investigating claims made by various regulators and brokerage firms including Axiom Capital Management, Inc. [read post]
29 Apr 2015, 4:07 pm
Brooks also failed to make timely updates to his Form U4 to report these liens. [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC Dalton… [read post]
15 Apr 2013, 1:02 pm
Slater and Azim Nakhooda, “made “false and misleading statements” about the IMH Fund, a security backed by subprime mortgages, and Medical Capital Holdings Inc., an Anaheim, Calif. [read post]
8 Feb 2012, 1:51 pm
Inc. 1,355.50 500+ New York, NY 17 Allegheny Financial Group Ltd. 1,247.00 500+ Pittsburgh, PA 18 United Capital Financial Advisers 1,214.90 500+ Newport Beach, CA 19 Family Management Corp. 1,173.60 500+ New York, NY 20 JMG Financial Group Ltd. 806.2 500+ Oak Brook, IL 21 Cain Watters & Associates 779.8 500+ Dallas, TX 22 Parsec Financial Management Inc. 749.7 500+ Asheville, NC 23 Cassaday & Co. [read post]
4 Apr 2018, 7:38 am
Miriam Fry Wells Fargo Clearing Services, LLC First Clearing, LLC Sherie Irene Gaunt Gill Capital Partners Roy Aurelio Gaytan Transamerica Financial Advisors, Inc World Group Securities, Inc. [read post]
8 Jan 2013, 6:31 am
Graves was registered with FINRA registered members during much of the relevant time period, including having worked at Questar Capital Corporation from March 2005 through May 2008, Fintegra, LLC from May 2008 through August 2009, Community Bankers Securities, LLC from August 2009 through December 2009, and Harrison Douglas, Inc. from February 2010 through June 2010. [read post]
3 Feb 2020, 6:05 am
About Knox Capital Foundational Capital for Middle Market Businesses. [read post]
4 Jun 2018, 6:38 am
BBVA Compass Investment Solutions, Inc Benjamin Glasser Aibel Wunderlich Securities,Inc Sanders Morris Harris Inc Carter Page Brooks Wells Fargo Clearing Services, LLC Edward Jones Walter Lee Clark Clark Capital Financial LLC Adirondack Trading Groups LLC Christian Colon Ausdal Financial Partners, Inc. [read post]
1 May 2014, 6:40 am
Claimant(s) Respondent(s) Award of Panel 13-00144 RBC Capital Markets LLC Thomas Alexander Hand (1) Respondent to pay Claimant compensatory damages of $237,326.00; (2) Claimant to pay Respondent compensatory damages of $40,000.00. [read post]
28 Mar 2011, 7:02 pm
Trustee together are asking the bankruptcy judge in New York to appoint a Chapter 11 trustee for West End Financial Advisors LLC, the adviser for dozens of funds. [read post]
22 Feb 2023, 1:07 pm
Disclosure is limited even for the two well-known, publicly traded litigation fund managers, Burford Capital and Omni Bridgeway; it is sparser still—and highly self-selective—for all the private funds involved. [read post]
2 Jul 2009, 12:30 pm
Friedman & Co, Inc. [read post]
4 Jun 2015, 11:30 am
Fascitelli is the Founder of MDF Capital LLC, previously serving as President and Chief Executive Officer of Vornado Realty Trust as well as President of Alexander’s Inc. [read post]
4 Jun 2015, 11:30 am
Fascitelli is the Founder of MDF Capital LLC, previously serving as President and Chief Executive Officer of Vornado Realty Trust as well as President of Alexander’s Inc. [read post]
22 Mar 2017, 2:00 am
Dillon has been appointed Senior Policy Advisor. [read post]
24 May 2010, 11:18 am
(Boston, MA) Argo Advisors International Inc. [read post]
18 Dec 2009, 8:32 am
(Wales, MA) Brook Ridge, Inc. [read post]
