Search for: "Custom Estates, LLC"
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5 Jan 2021, 11:32 am
The second loan occurred in October of 2018 in the amount of $75,000 for the same real estate venture through the Engelmann-owned LLC. [read post]
29 Dec 2020, 9:44 am
The married couple, who are retired, were sold $231,000 of NorthStar Real Estate Income Trust. [read post]
23 Dec 2020, 1:17 pm
The investments were real estate securities and the act was alleged to have occurred between July 24, 2018 and December 23, 2019 while he was in the employment of LPL Financial LLC. [read post]
23 Dec 2020, 1:17 pm
The investments were real estate securities and the act was alleged to have occurred between July 24, 2018 and December 23, 2019 while he was in the employment of LPL Financial LLC. [read post]
18 Dec 2020, 6:14 am
The New Jersey Attorney General recently filed a lawsuit in New Jersey state court against Yellowstone Capital LLC, its parent Fundry.US LLC, and various Yellowstone subsidiaries and affiliates alleging that the defendants violated the New Jersey Consumer Fraud Act (CFA) and the New Jersey Regulations Governing General Advertising (Advertising Regulations) in connection with marketing and providing merchant cash advances. [read post]
15 Dec 2020, 11:51 am
Blaine Leeds and SmileDirectClub, LLC v. [read post]
9 Dec 2020, 7:27 am
This signals to customers and your vendors that you are a legitimate business. [read post]
4 Dec 2020, 8:07 am
They said the person who referred the attorney to them had represented the referrer’s father’s estate in New York. [read post]
3 Dec 2020, 3:00 am
Approval by CPUC would result in a rate increase for residential customers of roughly 4.6% and Direct Access or CCAs at a rate of 5.7% respectively. [read post]
2 Dec 2020, 6:18 am
The buyer is affiliated with Griffith Properties, LLC. [read post]
1 Dec 2020, 11:11 am
Customer Complaint and FINRA Award July 2015 – Customer Complaint and FINRA Award- Royal Alliance was ordered to pay $1.4 million to three separate retired investors due allegations of negligence while supervising sales of non traded real estate investment, trusts, and variable annuities. [read post]
26 Nov 2020, 12:09 pm
Independent Financial Group Customer Complaints & Regulatory Actions The White Law Group is investigating potential securities claims involving Independent Financial Group (CRD#: 7717, San Diego, CA) Independent Financial Group, LLC, headquartered in San Diego, California, is dually registered as an investment adviser and broker-dealer. [read post]
14 Nov 2020, 11:03 am
Parker, LLC can help you understand the steps you should take when creating an estate plan in Ohio, and we will make sure you are prepared for whatever may happen. [read post]
5 Nov 2020, 9:18 am
From April 2016 through October 2016, First Clearing distributed 6,851 account statements to customers containing valuation information for one or more Direct Participation Programs (DPPs) or Real Estate Investment Trusts (REITs) that did not comply with FINRA rules, according to the AWC. [read post]
5 Nov 2020, 7:35 am
Legal and Regulatory Developments SPOTLIGHT: Justice Department Files Antitrust Lawsuit Challenging Visa’s Planned Acquisition of Plaid Wall Street Journal – November 5, 2020 (subscription required) The Justice Department filed an antitrust lawsuit Thursday that seeks to block Visa Inc. [read post]
3 Nov 2020, 7:23 am
Promissory notes are a common investment vehicle in cases of selling away, as are unregistered securities, and real estate investments. [read post]
30 Oct 2020, 3:21 am
As reported on the FINRA Letter of Acceptance, Waiver and Consent(AWC), Dykstra allegedly called prospective investors, some of whom were VBS customers or former customers of VBS, to inform them of the investment opportunity. [read post]
30 Oct 2020, 3:21 am
As reported on the FINRA Letter of Acceptance, Waiver and Consent(AWC), Dykstra allegedly called prospective investors, some of whom were VBS customers or former customers of VBS, to inform them of the investment opportunity. [read post]
13 Oct 2020, 7:45 am
This signals to customers and your vendors that you are a legitimate business. [read post]
8 Oct 2020, 3:04 pm
Its motion relied on a decision issued by the highest court in Massachusetts involving the real estate industry, where the court had held that the state’s independent contractor law was completely preempted by a state law requiring real estate companies to supervise real estate agents. 7-Eleven conceded that it exercises some level of control over its franchisees, but argued it did so consistent with the FTC franchise regulations. [read post]
