Search for: "CONCORD FINANCIAL SERVICES"
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31 Jul 2023, 9:16 am
The White Law Group reviews the regulatory history of Concorde Investment Services. [read post]
30 Aug 2023, 7:25 am
The White Law Group Files another FINRA Claim against Concorde Investment Services The White Law Group announces the filing of a FINRA arbitration claim against Concorde Investment Services for investment losses involving complex alternative investments. [read post]
7 Dec 2020, 8:43 am
Daniel Raupp (Daniel Phillip Raupp) is a broker currently registered with Concorde Investment Services in their Port Jefferson, New York branch office. [read post]
17 May 2022, 6:18 am
The White Law Group announces the filing of a FINRA arbitration claim against Concord Investment Services for investment losses involving high-risk, non-traded REITs and other alternative investments. [read post]
12 Aug 2020, 9:03 am
Continue Reading › The post Concorde Investment Services Broker William Morrow Accused by Over A Dozen Investors of Stockbroker Fraud appeared first on Investor Lawyers Blog. [read post]
26 Sep 2020, 1:59 am
Among the false representations allegedly made by Zabala, the criminal complaint against him details how he often misrepresented that the money from the offerings would be used to expand Concorde Group Holdings by acquiring and investing in other financial companies. [read post]
26 Sep 2020, 1:59 am
Among the false representations allegedly made by Zabala, the criminal complaint against him details how he often misrepresented that the money from the offerings would be used to expand Concorde Group Holdings by acquiring and investing in other financial companies. [read post]
9 Nov 2020, 1:39 pm
Ex-Concorde Investment Services Broker Allegedly Made Negligent Recommendations Robert Scott Smith, the President of Peregrine Private Capital in Newberg, Oregon, and a former Concorde Investment Services, is named in multiple Financial Industry Regulatory Authority (FINRA) arbitration claims by former customers that invested in GPB private placement funds at his recommendation. [read post]
11 Sep 2018, 1:30 pm
He was previously employed by Ameriprise Financial Services, Inc. [read post]
4 Aug 2020, 6:10 am
Advisor William Morrow (Morrow), currently employed by Concorde Investment Services, LLC (Concorde Investment) and formerly employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least 14 customer complaints and one employment termination for cause during the course of his career. [read post]
29 Jul 2018, 1:46 pm
(Voya) and Ameriprise Financial Services, Inc. [read post]
17 Feb 2020, 7:29 am
The securities lawyers of Gana Weinstein LLP recently filed a complaint on behalf of multiple clients alleging that Concorde Investment Services, LLC (Concorde Investment) representative Daniel Raupp (Raupp) sold them fraudulent securities linked to GPB Capital causing at least $500,000 in losses. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 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 Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody, Richard IFS… [read post]
11 Jul 2007, 7:22 am
Both Concordance and online review from Applied Discovery are available as individual products and services respectively, as well as being part of the LexisNexis ® Total Litigator platform - a single online destination offering attorneys the tools and litigation support services needed to manage cases at each step of the litigation process. [read post]
9 Nov 2021, 6:32 am
His previous employers include Concorde Investment Services, LLC (CRD#:151604), Triad Advisors, Inc. [read post]
8 Jun 2020, 5:46 am
A Pending Claimant Alleges That Concorde Investment Services Broker W. [read post]
8 Jun 2020, 5:46 am
A Pending Claimant Alleges That Concorde Investment Services Broker W. [read post]
27 Apr 2018, 2:08 pm
” Siegel was a previously registered broker and investment advisor and worked in the financial services industry since 1992. [read post]
5 Mar 2019, 10:03 am
Concorde Investment Services, LLC Crown Capital Securities, L.P. [read post]
14 Jun 2022, 7:34 am
Additionally attorney Holly Haines will be receiving the President’s Award for her continued outstanding service, leadership and support of NHAJ. [read post]
