Search for: "Summit Retirement Advisors LLC"
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7 Dec 2009, 12:34 pm
Hofhines and his firm, Summit Retirement Advisors LLC, failed to disclose to clients that returns from investments in Provident Royalties LLC securities did not come from revenue generated by actual investments in oil-and-gas properties. [read post]
17 Oct 2019, 10:28 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor John Holland (Holland), currently employed by Cetera Advisor Networks LLC (Cetera Advisor) has been subject to at least three customer complaints and two employment termination for cause during the course of his career. [read post]
2 Apr 2015, 1:35 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:According to the National Association of Plan Advisors 401(k) Summit, the new major areas for lawsuits include the failure of financial services firms to follow fee disclosure regulations, as well as arrangements where plan service providers have discretion over fund menus and employee stock ownership plans.The trend is highlighted by a series of multimillion dollar settlements involving unreasonably high fees in… [read post]
6 Mar 2021, 8:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Bruce Ciallella (Ciallella), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least seven customer complaints during the course of his career. [read post]
17 May 2020, 12:44 pm
From November 2014 through May 2016 Bourke was registered with Summit Brokerage Services, Inc. [read post]
5 Mar 2017, 10:01 pm
Panelists are scheduled to be: Kathy Gombas, former senior advisor for food safety at the Food and Drug Administration and a member of the FSMA Steering Committee, co-lead for the FSMA Training Workgroup, and advisor to the Preventive Controls Implementation workgroup that is focusing on inspection approaches; Dave Gombas, former vice president of technical services for United Fresh Produce Association who retired in June 2016 after 11 years leading the United Fresh food… [read post]
26 Sep 2019, 9:10 am
Turner & Company, LLC. [read post]
23 Aug 2017, 11:55 am
In May, FINRA reached a settlement with another Cetera firm, Cetera Advisor Networks, for overcharging retirement plan and charitable organization clients close to $1.7 million since 2009. [read post]
23 Dec 2017, 12:00 am
Retirement in on itself is complicated. [read post]
23 Nov 2016, 1:26 pm
From August 2015 through October 2016, DiGaetano was associated with Summit Brokerage Services, Inc. [read post]
10 May 2017, 10:19 pm
Speakers on the keynote panel at the 2017 Food Safety Summit were, from left, moderator Dane Bernard of Bold Bear Food Safety; Kathy Gombas formerly of FDA; Dave Gombas formerly of United Fresh Produce Association; Craig Wilson of Costco Wholesale Corporation; Jeffery Steger of the Department of Justice; and Shawn Stevens of Food Industry Counsel LLC. [read post]
16 Dec 2009, 7:04 am
Hofhines and his firm, Summit Retirement Advisors LLC of Meridian, Idaho, in connection to the oil and gas placements sold by Provident. [read post]
12 Jan 2012, 10:40 am
SUS Self-Storage SUS Suburban Lodges SLAM Hotels SLAM Summit Properties, Inc. [read post]
