Search for: "Seattle Structures, LLC"
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14 Dec 2023, 9:01 am
Other municipalities that have passed such laws, besides New York City, include Minneapolis, Seattle, and Columbus, Ohio. [read post]
14 Dec 2023, 1:21 am
The firm has offices in Seattle, Washington and Chicago, Illinois and reviews securities cases across the country. [read post]
22 Nov 2023, 11:08 am
Other jurisdictions that have passed such laws include Minneapolis, Seattle, and Columbus, Ohio. [read post]
7 Nov 2023, 8:37 am
Our offices are located in Chicago, Illinois, and Seattle, Washington. [read post]
29 Aug 2023, 12:32 pm
First Southwest Company, LLC and Southwest Securities, Inc. subsequently merged into what is now Hilltop Securities, Inc., in 2016. [read post]
27 Aug 2023, 7:49 pm
From June 2019 through May 2022, Liddle purportedly misappropriated the money from clients of Prosper Wealth Management, LLC (“PWM”), an investment adviser which he controlled. [read post]
22 Aug 2023, 8:46 am
In 2017, Bailey purportedly participated in a private securities transaction by soliciting and facilitating a firm client’s $588,000 investment in an LLC membership interest in Golden Empire Seafood, LLC in exchange for compensation from Golden Harvest Alaska Seafood, LLC, without requesting or receiving permission from his member firm. [read post]
18 Aug 2023, 7:20 am
On March 9, 2023, FINRA fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written customer complaints to FINRA as required. [read post]
17 Aug 2023, 10:49 am
With offices in Seattle, Washington and Chicago, Illinois, the firm reviews securities fraud cases throughout the country. [read post]
16 Aug 2023, 9:04 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated [read post]
15 Aug 2023, 1:32 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]
28 Jul 2023, 1:02 pm
Some types of complex investments include Structured Products, Private Placement Investments, and Non-traded Real Estate Investment Trusts (REITs). [read post]
24 Jul 2023, 11:28 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]
20 Jul 2023, 2:09 am
DSTs are similar to tenants-in-common (TIC) investments when it comes to benefits, risks, and structure. [read post]
19 Jul 2023, 11:32 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]
17 May 2023, 11:30 am
The White Law Group reviews the regulatory history of MML Investors Services LLC. [read post]
12 Apr 2023, 11:39 am
The CEO and mastermind of Future Income Payments LLC (FIP), formerly known as Pensions, Annuities, and Settlements LLC received a 10 year sentence in August 2022 after pleading guilty to fraud conspiracy. [read post]
5 Apr 2023, 7:14 pm
The charges include structuring sales from 2013 to 2014 of UITs to clients in order to allegedly avoid reaching levels at which breakpoint discounts would kick in, thus increasing the broker’s commission, and at the same time harming clients. [read post]
5 Apr 2023, 2:05 pm
FINRA alleged that the advisor sold an investor $29,500 in Future Income Payments (FIP), an allegedly fraudulent structured cash flow investment. [read post]
27 Mar 2023, 8:09 pm
Although our offices are in Seattle, Washington and Chicago, Illinois, the firm reviews securities fraud cases throughout the country. [read post]
