Search for: "Independent Financial Group LLC"
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23 Jan 2024, 12:05 pm
Stewart Ginn (CRD# 4503197, aka “Stewart Taylor,” “Paxton Ginn Jr”) is a registered broker currently employed with Independent Financial Group, LLC (CRD# 7717) of Santa Maria, CA. [read post]
13 Aug 2015, 11:17 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Original post can be found here.MetLife Inc. and LPL Financial, two large financial services firms, have entered a heated dispute over the poaching of 60 brokers. [read post]
19 Jan 2021, 6:00 pm
As just one example, in Backpage.com, LLC v. [read post]
26 Apr 2022, 1:57 pm
The post International Assets Advisory Lawsuits: How to Recover Financial Losses involving GWG L Bonds appeared first on The White Law Group. [read post]
23 Dec 2015, 6:11 am
See RBC Capital Mkts., LLC v. [read post]
3 Feb 2020, 6:53 am
Advisor Kenneth Guerra (Guerra), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least two customer complaints, one financial disclosure, and one regulatory violation during the course of his career. [read post]
20 Jun 2022, 4:41 am
The first is that RULLCA “deserted its appropriate target group,” a criticism that Professor Kleinberger writes, “misapprehends the evolution of the Uniform Limited Liability Company Acts. [read post]
28 Nov 2011, 9:47 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 Boca Raton, Florida. [read post]
15 Dec 2021, 6:04 am
(IRT) appeared first on The White Law Group. [read post]
27 Feb 2010, 8:11 am
The Council has been formed by a group of private sector international financial leaders to provide national and international policymakers with independent recommendations from outside government for effective regulation of the global financial system, particularly regulation with significant cross-border implications. [read post]
6 Oct 2022, 7:38 am
Advisor Jerry Tuma (Tuma), currently employed by brokerage firm Independent Financial Group, LLC (Independent Financial) has been subject to at least five disclosures and customer complaints. [read post]
19 Oct 2021, 2:51 pm
Please follow us on Twitter @CosLawGroup, on LinkedIn at Cosgrove Law Group, LLC, and on Facebook at Cosgrove Law Group, LLC. [read post]
22 Jun 2023, 7:35 am
The group serves 11,000 independent brokers through the following firms, managing $500 billion in client assets: FSC Securities Corporation, SagePoint Financial, Inc. [read post]
28 Aug 2018, 8:32 am
If you are concerned about investments you made with Trustmont Financial Group, the securities attorneys at The White Law Group may be able to help you. [read post]
22 Feb 2022, 9:32 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]
13 Apr 2023, 1:32 pm
The White Law Group is investigating potential securities claims involving SA Stone Wealth Management (fka Sterne Agee Financial Services). [read post]
14 Apr 2023, 8:42 am
The White Law Group reviews the regulatory history of Vanderbilt Securities LLC. [read post]
26 Oct 2010, 6:21 am
See In re Bayou Group , LLC, No. 09 Civ. 02577 (S.D.N.Y. [read post]
26 Oct 2010, 6:21 am
See In re Bayou Group , LLC, No. 09 Civ. 02577 (S.D.N.Y. [read post]
30 Jun 2020, 7:48 am
According to BrokerCheck, Talebi then worked for Independent Financial Group, LLC, of Sherman Oaks, CA. [read post]
