Search for: "CA Investment Group, LLC"
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1 May 2024, 10:16 pm
The White Law Group reviews the regulatory history of LPL Financial LLC. [read post]
22 Apr 2024, 11:39 am
(CRD#:5685), NEWARK, NJ, B, 08/15/2011 – 05/12/2023, NYLIFE SECURITIES LLC (CRD#:5167), SAN FRANCISCO, CAB, 07/10/2009 – 11/30/2010, NEW ENGLAND SECURITIES (CRD#:615), FOSTER CITY, CA The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
1 Apr 2024, 7:16 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
28 Mar 2024, 10:36 am
FINRA BrokerCheck Report – Juan Carlos Sosa According to this FINRA BrokerCheck report, Juan Carlos Sosa was affiliated with the following firms during his career in the securities industry: 08/03/2022 – 03/21/2024, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), STUDIO CITY, CA, B, 10/31/2005 – 07/18/2022, SAGEPOINT FINANCIAL, INC. [read post]
23 Feb 2024, 11:06 am
FINRA BrokerCheck Report – Gary Chang According to this FINRA BrokerCheck report, Gary Chang (CRD #2922898) was affiliated with the following firms during his career, among others: 02/02/2016 – 08/09/2022, MORGAN STANLEY (CRD#:149777), Cupertino, CA, B, 02/13/2013 – 01/08/2016, CETERA INVESTMENT SERVICES LLC (CRD#:15340), MILLBRAE, CA The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background… [read post]
13 Feb 2024, 10:47 am
Broker Brett Hartvigson was reportedly affiliated with the following firms during his career, among others: 04/06/2009 – 10/27/2023, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), SAN DIEGO, CA, B, 02/24/2006 – 05/29/2009, LPL FINANCIAL CORPORATION (CRD#:6413), SAN DIEGO, CA B, 07/01/2002 – 02/27/2006, THRIVENT INVESTMENT MANAGEMENT INC. [read post]
23 Jan 2024, 12:05 pm
Stewart Ginn (CRD# 4503197, aka “Stewart Taylor,” “Paxton Ginn Jr”) is a registered broker currently employed with Independent Financial Group, LLC (CRD# 7717) of Santa Maria, CA. [read post]
19 Jan 2024, 7:37 am
If you have suffered investment losses with Robert Starnes, the securities attorneys at the White Law Group may be able to help you. [read post]
27 Dec 2023, 6:09 pm
Independent Financial Group, LLC (CRD#: 7717, San Diego, CA), headquartered in San Diego, California, is dually registered as an investment adviser and broker-dealer. [read post]
5 Dec 2023, 10:38 am
MORGAN SECURITIES LLC (CRD#:79), HAWTHORNE, CA B, 05/02/2009 – 10/01/2012, CHASE INVESTMENT SERVICES CORP. [read post]
27 Nov 2023, 8:22 am
(CRD#:39262), Tarzana, CA B, 01/27/2009 – 08/21/2017, FINANCIAL WEST GROUP (CRD#:16668) FINRA expelled the firm on 02/13/2020, Tarzana, CA The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
10 Nov 2023, 7:01 am
John Matson (John Nicholas Matson CRD# 1796541) is a former registered broker and investment advisor last employed with LPL Financial LLC (CRD#:6413) of Manhattan Beach, CA. [read post]
2 Nov 2023, 6:36 am
William Conn (William Joseph Conn CRD# 1477107, aka “Bill Conn”) is a currently registered broker and investment advisor with International Assets Advisory, LLC (CRD#: 10645) of San Francisco, CA. [read post]
20 Oct 2023, 8:33 am
On Sept. 18 Freeman granted the preliminary injunction requested by tech trade group NetChoice LLC, saying the group was “likely to succeed” with its challenge to the law on First Amendment grounds. ( LAW360 ) SEC Inaction on Grayscale Ruling Suggests Bitcoin ETF Approvals May Be Coming Soon The passage of a deadline last week for the U.S. [read post]
18 Oct 2023, 7:43 am
His scheme consisted of persuading victims to invest in Crew Capital Group, LLC, however Swensen did not invest in any securities, according to the agency. [read post]
21 Sep 2023, 7:20 am
What major occupational groups and industry subsectors were most affected by COVID-19, especially in the first year? [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]
7 Jun 2023, 8:52 am
(CRD# 39262) and Financial West Group (CRD# 16668, expelled by FINRA on 2/13/2020) of Tarzana, CA. [read post]
6 Jun 2023, 7:49 am
(CRD#:39262), WESTLAKE VILLAGE, CA B, 11/18/2013 – 04/29/2015, FINANCIAL WEST GROUP (CRD#:16668) FINRA expelled the firm on 02/13/2020, RENO, NV Investigating Claims The White Law Group is investigating potential securities claims involving Moloney Securities and its alleged failure to supervise former broker Jeffrey Cohen. [read post]
1 Jun 2023, 8:17 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
