Search for: "Custom Estates, LLC"
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20 Jun 2019, 9:19 am
Advisor Craig Sherrer (Sherrer), currently employed by Janney Montgomery Scott LLC (Janney Montgomery) and formerly with Newbridge Securities Corporation (Newbridge Securities) has been subject to at least one customer complaint during the course of his career. [read post]
15 Apr 2019, 8:31 am
Advisor Daniel Davila (Davila), formerly employed by Purshe Kaplan Sterling Investments (Purshe Kaplan) and currently employed by advisory firm Austin Walth Management, LLC (Austin Wealth) has been subject to at least two customer complaints. [read post]
11 Sep 2015, 11:25 am
From the Desk of Jim Eccleston at Eccleston Law LLC:A Texas based broker-dealer, WFG Investments, has been fined by Texas Securities Commissioner John Morgan for failing to determine whether the sales of alternative investments exposed clients to excessive risks.WFG failed to ensure that its brokers were selling suitable investments and failed to monitor how large a percentage of a customer’s account could be held in alternative investments, such as real estate investment… [read post]
11 Jun 2015, 2:04 pm
Gold was fired in 2007 from his last employer for violations of company policies regarding borrowing funds from customers’ accounts.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
9 Oct 2018, 9:00 am
Trainer Custom Chem., LLC., __ F.3d __, No. 17-2607, 2018 WL 4844077 (3d Cir. 2018). [read post]
9 Dec 2015, 6:21 am
In March 2014, Arford was also terminated from Independent Financial Group, LLC (IFG) after allegations were made that Arford was the subject of customer complaints. [read post]
18 Mar 2014, 6:01 am
Brunhaver (Brunhaver) formerly of LPL Financial, LLC (LPL) concerning allegations Brunhaver used an unauthorized e-mail account for communications related to his securities business and committed securities fraud in making oral and written misrepresentations to customers regarding a non-traded REIT. [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to monitor and report trades and deliver… [read post]
29 May 2011, 1:25 am
The customer can then take the vehicle to any shop for repair and then submit the invoices for payment. [read post]
23 May 2019, 7:14 am
According to a BrokerCheck report some of the customer complaints concern alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and equipment leasing programs. [read post]
8 Feb 2010, 3:43 pm
On December 2, 2009, Tana Seybert LLC (now known as UTBTS, LLC) held an auction for miscellaneous remaining assets with the assistance of GoIndustry USA, Inc. [read post]
9 Jul 2012, 5:02 am
” Basile and Prost then formed BBP & Associates LLC, an “economics and real estate development advisory firm” in Annapolis. [read post]
15 Oct 2021, 12:33 pm
Brokers Not Supposed To Be Beneficiaries Of Customer’s Estate According to FINRA Rule 3241 brokers are generally not supposed to be a beneficiary of their client’s estate, unless the customer is an immediate family member. [read post]
3 Aug 2020, 6:37 am
Advisor Christopher Shaw (Shaw), currently employed by Pruco Securities LLC (Pruco) and formerly employed by Kalos Capital, Inc. [read post]
10 Sep 2019, 1:56 pm
The securities attorneys at Gana Weinstein LLP are investigating advisor Michael Arteca (Arteca), currently registered with Pruco Securities, LLC. [read post]
30 Dec 2013, 6:33 am
FINRA alleged that Isaacs negligently misrepresented two customers that an investment in the Insight Real Estate LLC 2007 Secured Debenture Offering (Insight) was a safe, low-risk investment, misstated its payment terms, and omitted material facts relating to the speculative nature of the investment. [read post]
7 Apr 2014, 11:10 pm
Krause of Krause Donovan Estate Law Partners, LLC. [read post]
21 Apr 2020, 11:58 am
Miller, LLC is currently investigating allegations against John Hoff Russell CRD#: 728702 and Stifel, Nicolaus & Company, Incorporated pertaining to a multitude of allegations including broker fraud, subterfuge negligence and intentional actions in customer accounts without authority, breach of fiduciary duty, and other securities violations. [read post]
24 May 2021, 6:31 am
Advisor Gary Ginsberg (Ginsberg), currently employed by brokerage firm Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least four customer complaints and one regulatory action during the course of his career. [read post]
3 Feb 2020, 6:53 am
Advisor Kenneth Guerra (Guerra), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least two customer complaints, one financial disclosure, and one regulatory violation during the course of his career. [read post]
