Search for: "Summit Brokerage Services"
Results 1 - 20
of 106
Sorted by Relevance
|
Sort by Date
8 Mar 2018, 7:21 am
(FINRA Case #2016050260001) Summit Brokerage Services, Inc. [read post]
6 Jan 2020, 2:12 pm
The post Linda Zara Of Summit Brokerage Services Suspended And Fined For Entering Into Improper Loan Arrangement With An Elderly Client appeared first on Securities Arbitration Lawyers Blog. [read post]
15 May 2019, 1:24 pm
According to BrokerCheck records financial advisor Robert Berg (Berg), currently employed by Summit Brokerage Services, Inc. [read post]
3 Oct 2019, 6:37 am
(Summit Brokerage) out of Fort Gratiot, Michigan. [read post]
2 Jul 2019, 12:51 pm
FINRA arbitration, FINRA lawyer, Summit Brokerage services sanctioned, Summit Supervisory failures, The post FINRA Fines Summit Brokerage Services Inc. $550,000 appeared first on The White Law Group. [read post]
20 Feb 2019, 6:24 am
Advisor Victor Rigoni (Rigoni), currently employed by Summit Brokerage Services, Inc. [read post]
24 Nov 2020, 12:05 pm
FINRA Censures and Fines Summit Brokerage Services Summit Brokerage Services has also reportedly had issues with regulators. [read post]
25 Oct 2017, 2:22 pm
Mathias, a broker associated with Summit Brokerage Services, Inc. [read post]
14 Oct 2017, 12:12 pm
According to BrokerCheck records financial advisor David Capin (Capin), currently associated with Summit Brokerage Services, Inc. [read post]
29 Mar 2021, 12:04 pm
Rigoni, III, Formerly of Summit Brokerage Services, Inc., Suspended by FINRA appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Jul 2019, 8:56 am
For alleged supervisory failures and excessive trading by one of its former brokers, Summit Brokerage Services, Inc. has been ordered to pay over $880K– $558K in restitution with interest to customers that were harmed, as well as a $325K fine to the Financial Industry Regulatory Authority (FINRA). [read post]
5 Aug 2022, 7:00 am
Continue Reading › The post Ex-Summit Brokerage Services Financial Advisor Francis Velten Barred Following Churning Allegations in Elderly Customers’ Accounts appeared first on Investor Lawyers Blog. [read post]
5 Aug 2016, 11:14 am
The Company currently provides fee-based natural gas gathering and compression services. [read post]
10 Oct 2019, 6:25 am
The Company, based in Dallas, Texas, currently provides fee-based natural gas gathering and compression services. [read post]
18 Feb 2013, 1:08 pm
The event welcomes U.S. investment projects, Regional Centers, real estate brokerage firms, franchises, PE and VC companies, financial services, attorneys, CPAs, international trade agencies, government officials, and colleges to participate in exhibition and presentations. [read post]
18 Jun 2018, 7:55 am
The securities attorneys at Gana Weinstein LLP are investigating claims against Summit Brokerage Services (Summit Brokerage) broker Michael Mathias (Mathias). [read post]
1 Nov 2017, 5:59 am
In April 2017, Jorgensen was terminated from his position at Summit Brokerage Services after “the firm received a verbal complaint from a customer who alleged that [he] instructed her not to respond to a FINRA inquiry. [read post]
19 Jun 2012, 12:06 pm
Since May, Brokerage Services Inc. has suspended selling agreements with KBS Holdings LLC after a prospective class action complaint was filed against one of KBS’s REITs. [read post]
9 Jul 2017, 8:56 am
Clay Hoffman, a registered representative from Brunswick, Georgia, formerly with Summit Brokerage Services and Suntrust Investment Services was barred from FINRA membership as a result of failing to cooperate with a FINRA investigation. [read post]
8 Feb 2019, 1:11 pm
Scott Vincent Kaup (CRD #1002907) is a registered broker and investment advisor currently employed with Summit Brokerage Services, Inc. [read post]
