Search for: "Custom Estates, LLC"
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30 Nov 2021, 8:38 am
Most FINRA member broker-dealer firms have policies prohibiting brokers from knowingly becoming beneficiaries in a customer’s will, trust, or estate plan unless they are immediate family. [read post]
9 Nov 2021, 1:12 pm
Previous employers include Cetera Investment Services LLC (CRD#:15340), also of Tulsa, Bok Financial Securities, Inc. [read post]
2 Nov 2021, 1:57 pm
Kenneth Welsh (Kenneth Andrews Welsh CRD:# 4657872) is a former registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Fairfield, New Jersey. [read post]
19 Oct 2021, 6:21 am
In February 2021 FINRA filed a complaint against Patatian alleing that he made 81 recommendations to 59 customers to purchase non-traded real estate investment trusts (REITs). [read post]
18 Oct 2021, 7:22 am
In most of these jurisdictions (plus in South Carolina) it's also illegal to discriminate based on political activities in housing (and sometimes in commercial real estate transactions). [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]
9 Oct 2021, 12:43 pm
Yes, this picture fitsBy Andy DelaneyI'm slacking on keeping this site updated. [read post]
7 Oct 2021, 2:05 pm
Adam Belardino (Adam Gerard Belardino, CRD: #5221927) is a former registered broker and investment advisor whose last known employer was MML Investors Services, LLC (CRD#:10409) of Elmsford, New York. [read post]
7 Oct 2021, 1:04 pm
The bank is refunding the other bank customer and advised the attorney to stop all communication with the scammer. [read post]
FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction
7 Oct 2021, 12:31 pm
The customer filed allegations that Simmons “made unsuitable recommendations and misrepresentations in connection with variable annuity and REIT [Real Estate Investment Trusts] investments. activity period 6/08 to 7/09. [read post]
7 Oct 2021, 12:18 pm
Most brokerage firms have policy and procedures in place to protect a customer account after a customer is deceased and to assist in the distribution of the estate. [read post]
6 Oct 2021, 9:19 am
LLC v. [read post]
4 Oct 2021, 10:58 am
My presentation, galloping across a bunch of developments. [read post]
22 Sep 2021, 12:08 pm
A NIS helps its customers establish corporations &/or other entities. [read post]
13 Sep 2021, 2:00 pm
This signals to customers and your vendors that you are a legitimate business. [read post]
10 Sep 2021, 1:03 pm
” Subsequent to Petersen’s discharge, he spent less than year at Ameriprise Financial Services, LLC before leaving the securities industry. [read post]
3 Sep 2021, 7:16 am
Here are examples, this is not an exhaustive list: a) Collecting money owed by a customer. [read post]
3 Sep 2021, 7:16 am
Here are examples, this is not an exhaustive list: a) Collecting money owed by a customer. [read post]
3 Sep 2021, 4:00 am
National/Federal Are Censures of Politicians a Form of Free Speech or a Threat to It? [read post]
20 Aug 2021, 10:10 am
., LLC v. [read post]
