Search for: "Custom Estates, LLC"
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20 Mar 2011, 11:08 pm
We felt that it was very important for the customers that refer business (real estate professionals) to know that the title company they are closing with has taken the certification course. [read post]
24 Mar 2010, 1:50 pm
The Financial Industry Regulatory Authority (FINRA) has expelled Provident Asset Management, LLC, for marketing a series of fraudulent private placements offered by its affiliate, Provident Royalties, LLC, in a massive Ponzi scheme. [read post]
22 Mar 2016, 6:19 am
Since 2006 Moore has been registered with LPL Financial LLC out of the firm’s Alexander City, Alabama office location. [read post]
14 Jul 2014, 5:11 am
Thereafter, Frew became registered with Wells Fargo Advisors, LLC (Wells Fargo) in 2003. [read post]
22 Oct 2013, 11:11 am
Money was moved from one shell LLC to another. [read post]
31 Mar 2010, 6:09 am
FINRA, the Financial Industry Regulatory Authority, has announced that it has expelled Provident Asset Management, LLC, a Dallas-based broker-dealer, for marketing a series of fraudulent private placements offered by its affiliate, Provident Royalties, LLC, in a massive Ponzi scheme. [read post]
2 Jul 2013, 9:50 am
Madoff Investment Securities LLC, Nos. 11-5044, 11-5051, 11-5175, 11-5207, 2013 WL 3064848 (2d Cir. [read post]
8 Nov 2015, 11:34 am
From June 1998 until August 2015, Ahrens was associated with LPL Financial LLC (LPL Financial). [read post]
31 Mar 2011, 2:38 pm
TLA handles personal injury, real estate, estate planning, divorce, bankruptcy, criminal law. [read post]
28 Nov 2011, 1:16 pm
The customer contended that he believed that the investment was sold through and approved by Securian Financial Services. [read post]
19 Oct 2022, 6:49 am
The SEC’s complaint alleges that Swensen, who died on June 6, 2022, fraudulently induced victims into investing in Crew Capital Group, LLC. [read post]
29 Mar 2023, 12:33 pm
Borrowing was only allowed if the customer was also a family member, and this customer was not. [read post]
5 Oct 2022, 1:13 pm
(First Allied) and Great Point Capital, LLC (Great Point) has been subject to at least 14 disclosures including 11 customer complaints, two regulatory actions, and an employment termination for cause. [read post]
12 Oct 2017, 11:42 am
Former Cetera Advisor Networks LLC (Cetera) broker Susan Welo (Welo) has been subject to nine customer complaints, one employment separation for cause, and one regulatory action. [read post]
2 Dec 2020, 6:18 am
The buyer is affiliated with Griffith Properties, LLC. [read post]
25 Apr 2017, 10:49 am
The FINRA complaint alleges that Niekras made fraudulent misrepresentations to an elderly couple in their 90s to collect more than $70,000 in estate and financial planning fees while associated with the brokerage firm MML Investors Services, LLC. [read post]
20 Jul 2019, 11:50 am
Forrest, from September of 2016 to November of 2016, allegedly solicited investors to purchase promissory notes relating to the Woodbridge Group of Companies LLC, a purported real-estate investment fund, and Forrest allegedly sold $826,986 in Woodbridge promissory notes to 15 investors, 13 of whom were American Portfolio customers, the AWC notes. [read post]
14 Jun 2011, 9:23 am
At Title Junction, customer service is our number one priority. [read post]
30 Oct 2013, 11:47 am
Since the collapse, popular firms promoting TIC investments such as DBSI, Inc., Cap West Securities, Provident Royalties LLC, Medical Capital Holdings and Pacific West Securities have dissolved amidst a wave of million dollar customer lawsuits and parallel enforcement actions. [read post]
29 Sep 2013, 6:11 pm
Most recently, Gist was registered with Resource Horizons Group LLC from March 2001 until his December 2011. [read post]
