Search for: "Custom Products, LLC"
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24 Nov 2018, 11:20 am
According to BrokerCheck records former financial advisor Brandon Stimpson (Stimpson), formerly employed by Allegis Investment Services, LLC (Allegis Investment) has been subject to at least eight customer complaints. [read post]
14 Feb 2024, 4:00 am
Likewise, product customization, allowing consumers to express their own style, is also popular. [read post]
20 Jul 2017, 7:28 am
Brands LLC, 137 S. [read post]
1 Dec 2023, 1:29 pm
Attorney’s Office for the Northern District of Georgia announced that a German company, KingKong-Tools GmbH & Co KG, and its American subsidiary, King Kong Tools, LLC, will pay $1.9 million to settle allegations of customs fraud under the False Claims Act. [read post]
4 Oct 2018, 2:25 pm
From July 2010 until January 2017 Woods was registered with LPL Financial LLC. [read post]
9 Jul 2017, 7:47 am
Current Independent Financial Group, LLC (Independent Financial) broker Gerhard Heuer (Heuer) has been subject to six customer complaints – many of which concern suitability concerns over recommendations for Variable Universal Life (VUL) policies. [read post]
21 Apr 2023, 6:20 am
Turner marketed, recommended, and sold to at least 30 of his UBS customers a “fixed annuity” product through Fairfax, which was an entity owned by a college friend. [read post]
10 Jul 2013, 9:31 am
Pacing Technologies, LLC v. [read post]
18 Jan 2024, 1:30 pm
FINRA Arbitration Award August 24, 2021 – In a FINRA arbitration case (No. 21-02101), customers filed a statement of claim against Cabot Lodge Securities, LLC, and a representative. [read post]
11 May 2015, 8:47 am
Do you remember the tale of Customs Fraud Investigations, LLC v. [read post]
5 Jul 2023, 12:52 pm
The White Law Group reviews the regulatory history of Hightower Securities LLC. [read post]
20 Jun 2018, 5:51 am
In addition, the broker must also understand the customer’s specific investment objectives to determine whether or not the specific product or security being recommended is appropriate for the customer based upon their needs. [read post]
25 Jun 2009, 12:51 pm
FINRA announced today that it fined Wachovia Securities, LLC $1.4 million for its failure to deliver prospectuses and product descriptions to customers who purchased various investment products from July 2003 through December 2004 and for related supervisory failures. [read post]
21 Dec 2022, 5:45 pm
Under SEC Regulation BI, a broker-dealer can only recommend financial products to their customers that are in their customers’ best interests, and must clearly identify both the material risks and any potential conflicts of interest and financial incentives the broker-dealer has for the sale of those products. [read post]
17 May 2020, 12:44 pm
This obligation includes the duties to disclose material risks of the investments they recommend and to present products, particularly complex or confusing products, in a fair and balanced manner that allows the client to evaluate the recommendation. [read post]
17 Apr 2018, 9:00 pm
In addition to the Vital Essentials recall, TruDog LLC has advised its customers by email that it has withdrawn a single batch of its Boost Me product, also due to possible Salmonella contamination. [read post]
24 Jul 2018, 7:25 am
[Defendant] told the two companies’ overlapping customer base that [plaintiff] had copied its product. . . . [read post]
24 Mar 2020, 6:35 am
According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct participation products (DPPs) like non-traded real estate investment trusts (REITs), oil & gas programs, and annuities. [read post]
1 Jul 2023, 11:18 am
Panamerican Foods, LLC, a distributor and importer of record located in Kearny, NJ., late Friday recalled approximately 4,978 pounds of the pork and beef bean stew products that were imported from Brazil that were not eligible for export of meat products to the United States, U.S. [read post]
28 Apr 2023, 12:37 pm
Personal liability protection is especially beneficial for online store owners and e-commerce entrepreneurs who may face risks such as customer disputes, product liability issues, and data breaches. [read post]
