Search for: "AWC Holding Company"
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7 May 2024, 7:35 am
The company planned to fold its broker-dealers into a single entity beginning last fall, according to numerous reports. [read post]
1 Sep 2023, 6:07 am
Roberts signed an Acceptance, Waiver & Consent (AWC) Letter on 1/8/2010. [read post]
27 Aug 2023, 7:49 pm
February 2018 – FINRA issued an AWC in which Western International was censured, fined $125,000 and ordered to pay $521,098.10, plus interest, in restitution to customers. [read post]
20 Jul 2023, 10:45 am
According to Smart Asset, the company has $17 billion in assets under management. [read post]
10 Apr 2023, 11:49 am
There were reportedly two other offerings that also had issues with lack of due diligence, according to the AWC. [read post]
5 Apr 2023, 7:14 pm
Berthel, Fisher and Company Financial Services Inc. [read post]
21 Mar 2022, 11:09 am
The AWC notes that Geneos permitted the sale of LJM on its platform without conducting reasonable due diligence of the company and without a sufficient understanding of its risks and features, including the fact that the fund pursued a risky strategy that relied, in part, on purchasing uncovered options. [read post]
4 Jan 2022, 9:34 am
Bowman signed an Acceptance Waiver and Consent Letter (AWC), neither admitting nor denying the allegations. [read post]
20 Dec 2021, 12:45 pm
IPOs, Pre-IPO Offerings, And SPACs Stock IPOs, pre-IPO offerings, and SPACs are often touted by stockbrokers and financial advisers as holding tremendous potential for investors to make money with a company that has a bright future ahead of it. [read post]
4 Mar 2021, 11:47 am
” According to the suit, Horsman used some of the business’ capital to purchase a Canadair LTD CL-600 Challenger private jet, embellished with the name of his own investment firm, “Horsman Holdings. [read post]
1 Dec 2020, 11:11 am
In a Letter of Acceptance, Waiver & Consent (AWC) on January 16, FINRA alleged that between 2009 and 2017, a New Jersey broker purportedly wire-transferred $1.4 million in more than 60 transactions from a New Hampshire widow who was reportedly disabled, to the bank account of his limited liability company and to a law firm. [read post]
22 Sep 2020, 2:32 am
Turner according to the AWC. [read post]
22 Sep 2020, 2:32 am
Turner according to the AWC. [read post]
29 Jul 2020, 9:04 am
(CRD #17499, Atlanta, Georgia) An AWC was issued in which the firm was censured, fined $50,000 and ordered to pay $584,466.13 in restitution to customers. [read post]
17 Jun 2020, 10:25 am
When an investor sells a UIT before its maturity date and rolls it over to another UIT, they have to pay greater sales charges than if they hold it to maturity. [read post]
13 Dec 2019, 11:58 am
We finally did a 3-way call with the company & were on hold 20+ minutes. [read post]
19 Sep 2018, 3:43 pm
He was the previous chief financial officer of DJB Holdings, Bennett’s investment firm. [read post]
19 Sep 2018, 9:44 am
The emails included information regarding the customers’ assets, securities holdings, and financial goals. [read post]
20 Aug 2018, 1:40 pm
The third offering’s PPM did not disclose that the companies that received their funds, the firm and its holding company, were deeply in debt. [read post]
5 Mar 2018, 1:23 pm
Further, the firm did not have any exception reports or surveillance tools to monitor holding periods for non-traditional ETFs. [read post]
