Search for: "Dealer Capital Group, LLC"
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20 Jul 2023, 10:45 am
According to FINRA, on April 27, 2018, GPB Capital sent a letter to many broker-dealers that sold GPB Capital-offerings stating that financial statements would be delayed pending the completion of a forensic audit. [read post]
14 Apr 2020, 7:55 am
The company has offices in New York and California and is an affiliate of SQN Capital Management LLC, a registered investment advisor with the U.S. [read post]
21 Feb 2017, 9:46 am
The White Law Group continues to investigate potential FINRA arbitration claims involving Bradford Energy Capital investments. [read post]
8 Oct 2018, 8:51 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
22 Mar 2017, 9:21 am
American Realty Capital New York City REIT Inc. [read post]
17 Sep 2013, 3:59 pm
Meru Capital Group – Agreed to pay disgorgement of $262,616.00, prejudgment interest of $4,600.51, and a penalty of $131,296.98.00. [read post]
2 Feb 2015, 3:32 pm
Schorsch resigned as chairman of ARCP and the broker-dealer holding company, RCS Capital Corp (aka RCAP). [read post]
25 May 2019, 12:37 pm
Cubic Energy, Hilltop’s predecessor company, filed for bankruptcy in 2015 and emerged from bankruptcy in 2016 under the control of a group of bondholders led by funds managed by Anchorage Capital Group LLC. [read post]
27 Sep 2022, 9:05 am
His previous employers include Nationwide Securities, LLC (CRD# 11173) of Elbridge, NY, 1717 Capital Management Company (CRD# 4082) and MML Investors Services, Inc. [read post]
20 Jun 2021, 6:40 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
29 Apr 2020, 11:45 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the broker dealer who sold you the investment. [read post]
11 May 2023, 10:02 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
16 Mar 2017, 8:57 am
American Realty Capital New York City REIT Inc. [read post]
14 Jun 2011, 9:39 pm
., No. 29951-10, the New York Supreme Court says that insurance company MBIA can sue Morgan Stanley and affiliates Saxon Mortgage Services Inc. and Morgan Stanley Mortgage Capital Holdings LLC for alleged misrepresentations about the risks involved in insuring residential mortgages that were sold to investors as mortgage-backed securities. [read post]
6 Aug 2014, 2:57 pm
The United States District Court for the Northern District of Illinois, in the case brought by the SEC against A Chicago Convention Center, LLC, Anshoo Sehti and Intercontinental Regional Center Trust of Chicago, LLC (the “Chicago Convention Center Case“), ruled on August 6, 2013 that the SEC had adequately alleged a domestic securities transaction, as required to state a securities fraud claim. [read post]
14 Aug 2014, 4:09 pm
U.S. securities broker-dealers are permitted to engage foreign associates and foreign finders and to share offering compensation with them U.S. securities broker-dealers are generally permitted to share offering compensation only with other registered broker-dealers or registered associated persons of the broker-dealer. [read post]
30 Oct 2017, 10:35 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
30 Sep 2022, 6:47 am
(CRD#:7870) of Morristown, NJ, Fidelity Brokerage Services LLC (CRD#:7784) of Wayne, NJ, and Barclays Capital Inc. [read post]
16 Dec 2011, 7:05 pm
The funds were placed in JBW Capital LLC. [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera Advisor… [read post]
