Search for: "Concorde Investment Services, LLC"
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6 Feb 2024, 6:13 am
From February 2014 to December 2017 Lorente was associated with Concorde Investment Services, LLC. [read post]
28 Sep 2023, 1:01 pm
To learn more about our claims involving high-risk private placement investments, please see: Concord Investment Services Lawsuit filed involving High-Risk Alternative Investments The post Greenbacker Renewable Energy Suspends Redemptions appeared first on The White Law Group. [read post]
31 Jul 2023, 9:16 am
The White Law Group reviews the regulatory history of Concorde Investment Services. [read post]
9 Nov 2021, 6:32 am
His previous employers include Concorde Investment Services, LLC (CRD#:151604), Triad Advisors, Inc. [read post]
28 Apr 2021, 5:23 am
He was previously registered with Concorde Investment Services, LLC between 2011 and 2020. [read post]
16 Feb 2021, 1:30 pm
He was formerly in the employment of Concorde Investment Services, LLC and Triad Advisors, Inc. between April 2006 and April 2018. [read post]
16 Feb 2021, 1:30 pm
He was formerly in the employment of Concorde Investment Services, LLC and Triad Advisors, Inc. between April 2006 and April 2018. [read post]
7 Dec 2020, 8:43 am
Daniel Raupp (Daniel Phillip Raupp) is a broker currently registered with Concorde Investment Services in their Port Jefferson, New York branch office. [read post]
4 Aug 2020, 6:10 am
Advisor William Morrow (Morrow), currently employed by Concorde Investment Services, LLC (Concorde Investment) and formerly employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least 14 customer complaints and one employment termination for cause during the course of his career. [read post]
3 Aug 2020, 6:51 am
This happened while he was a registered representative for Concorde Investment Services and before that with Triad Advisors. [read post]
8 Jun 2020, 5:46 am
(FINRA) Brokercheck Report for Concorde Investment Services, LLC broker W. [read post]
8 Jun 2020, 5:46 am
(FINRA) Brokercheck Report for Concorde Investment Services, LLC broker W. [read post]
15 May 2020, 7:49 am
From July 2015 until August 2018 Linsky was associated with Concorde Investment Services, LLC. [read post]
19 Feb 2020, 2:30 am
Despite his checkered employment record, he has been affiliated with 7 different advisory firms during his career, including Concorde Investment Services in Spring Lake, NJ, and Westminster Financial Services in Providence, Rhode Island. [read post]
17 Feb 2020, 7:29 am
The securities lawyers of Gana Weinstein LLP recently filed a complaint on behalf of multiple clients alleging that Concorde Investment Services, LLC (Concorde Investment) representative Daniel Raupp (Raupp) sold them fraudulent securities linked to GPB Capital causing at least $500,000 in losses. [read post]
13 Dec 2019, 6:39 am
The SEC Form D indicates that sales compensation was paid to the following recipients: Arkadios Capital, Capital Investment Group, Centaurus Financial, Center Street Securities, Concorde Investment Services, DFPG Investments, G. [read post]
25 Nov 2019, 5:51 pm
Smith is currently registered with member firm Concorde Investment Services, LLC (Concorde Investment). [read post]
28 Jun 2019, 11:31 am
Siegel was registered with National Securities Corporation in Edison, New Jersey from April 21, 2014 to May 13, 2016, and with Concorde Investment Services, LLC in Parsippany, New Jersey from September 19, 2013 until April 22, 2014, according to Michael Siegel’s FINRA BrokerCheck Report. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody,… [read post]
5 Mar 2019, 10:03 am
Concorde Investment Services, LLC Crown Capital Securities, L.P. [read post]
