Search for: "Security Financial Fund LLC"
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23 Sep 2020, 7:45 am
Investments are made through Cardone Capital’s equity funds, such as Cardone Equity Fund V, LLC (Fund V) and Cardone Equity Fund VI, LLC (Fund VI). [read post]
11 Jul 2022, 8:56 am
McDonald Partners LLC (CRD #135414), a broker-dealer based in Cleveland, Ohio, reportedly engages in a general securities business, including the sales of equity securities, mutual funds, variable annuities, and private placements. [read post]
4 Mar 2011, 6:58 am
Kobayashi, a former financial adviser at UBS Financial Services LLC, with misappropriating $3.3 million in a scheme that included bilking investors in a private investment fund he established. [read post]
15 Mar 2023, 8:23 am
The SEC also charged Guo and Puerto Rico and New York-based G Club Operations LLC and New York-based Mountains of Spices LLC with violations of the registration provisions of the securities laws in connection with these offerings. [read post]
15 Jan 2010, 1:15 pm
The SEC has charged two Sarasota, Florida-based investment advisers with securities fraud for misleading investors about the financial condition of three hedge funds they managed, and misrepresenting that they controlled the funds' investment and trading activities when in fact they were being handled by Arthur G. [read post]
23 Mar 2011, 8:58 pm
The US Securities and Exchange Commission has filed a securities fraud complaint accusing Juno Mother Earth Asset Management LLC and its founders Arturo Rodriguez and Eugenio Verzilli of looting over $1.8 million in assets from a hedge fund. [read post]
14 Oct 2015, 2:09 pm
On October 13, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Santander Securities LLC (“Santander Securities”) has to pay approximately $6.4 million in fines for supervisory related violations surrounding the sale of Puerto Rican Municipal Bonds (“PRMBs”) to Puerto Rican customers. [read post]
28 Jul 2016, 1:45 pm
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
4 Jan 2022, 10:06 am
The post FINRA Bars Broker Eric Hollifield Barred After Client Funds Misappropriation appeared first on Securities Arbitration Lawyers Blog. [read post]
17 Aug 2020, 9:39 am
Our investment fraud attorneys have been made aware that some of the investors in the Vida Longevity Fund have come to question Vida Capital Management, LLC’s business practices, and the preliminary results of our investigation have suggested that investors who have lost money with Vida Capital Management, LLC may be entitled to recover their losses through securities arbitration with the Financial Industry Regulatory Authority (FINRA) or by filing… [read post]
19 May 2017, 9:08 am
Formerly of Metlife Securities Inc. and Pruco Securities, LLC, Turner accrued nearly two dozen disclosures — including customer disputes, a regulatory action, and a separation following allegations — during his three-year tenure in the industry. [read post]
13 Sep 2021, 6:35 am
According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial) out of the firm’s Worcester, Massachusetts office location. [read post]
27 Apr 2022, 7:20 am
The note was issued by an LLC to fund remodeling a residential property and to pay an existing lien on that property. [read post]
1 Apr 2022, 1:41 pm
Morgan Securities, LLC (JPMS) over losses suffered by a foreign national. [read post]
27 Nov 2017, 11:20 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 Vero Beach, Florida. [read post]
26 May 2019, 5:44 am
Bylenga, formerly registered with LPL Financial LLC (LPL Financial) and operating out of Portage, Michigan, has been accused by a customer of soliciting funds for a loan. [read post]
30 Nov 2023, 9:55 am
The White Law Group, LLC, is a nationwide law firm specializing in securities fraud, securities arbitration, investor protection, and securities regulation/compliance, with offices in Chicago, Illinois, and Seattle, Washington. [read post]
1 Aug 2022, 7:00 am
Ex-Windsor, Georgia Investment Adviser Was Fired by Hamilton Investment Counsel and LPL The US Securities and Exchange Commission (SEC) has filed civil charges against Eric Shea Hollifield, a former LPL Financial broker and registered investment adviser with Hamilton Investment Counsel, LLC in Georgia. [read post]
12 Sep 2014, 2:04 pm
If so, how much and how often are funds dispersed? [read post]
13 Apr 2018, 2:13 pm
On April 6, 2018, the Securities and Exchange Commission (“SEC”) announced that three investment advisors, PNC Investments LLC, Securities America Advisors Inc., and Geneos Wealth Management (the “Advisors”) have settled charges with the SEC. [read post]
