Search for: "Dealer Capital Group, LLC"
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10 Mar 2022, 1:02 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 Seattle, Washington. [read post]
13 Apr 2017, 9:01 am
Regulatory Compliance Consulting Company Adds Significant Broker-Dealer Practice Below is a press release from Greyline Solutions, one of the premier regulatory consulting groups (editors note: I have an ownership interest in this company and have worked with the acquired company, Vista Compliance, and Talia Brandt for a number of years). [read post]
29 Apr 2016, 12:05 pm
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]
21 May 2018, 12:08 pm
Additionally, approximately 2.5% dealer manager fee and up to 1.0% distribution fee was also deducted from the primary offering price, and up to 1.5% of the proceeds from the sale of shares may have been allocated to the Advisor (Dividend Capital Total Advisors Group LLC) for incurring or paying offering expenses. [read post]
5 Oct 2020, 6:50 am
His previous employers include JHS Capital Advisors, LLC (CRD#:112097), also of Massapequa, Gunnallen Financial, Inc. [read post]
6 Apr 2021, 10:58 am
The White Law Group continues to investigate potential securities claims involving broker dealers who may have improperly recommended Lodging Fund REIT III to investors. [read post]
17 Nov 2017, 5:43 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]
7 Jul 2017, 8:06 am
American Realty Capital New York City REIT Inc. [read post]
4 Apr 2012, 7:32 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 Boca Raton, Florida. [read post]
30 Oct 2018, 8:04 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]
20 Jun 2023, 7:26 am
According to FINRA Disciplinary actions for May 2023, the following individuals were barred 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 Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Mark Miranda Spartan Capital Securities,… [read post]
27 Apr 2020, 7:38 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 Franklin, Tennessee. [read post]
9 Apr 2020, 6:58 am
The sales compensation recipients were purportedly The PrinceRidge Group LLC and Sanders Morris Harris, according to the Reg D. [read post]
8 May 2020, 9:36 am
Mark Schneck Northwestern Mutual Investment Services LLC MML Investors Services,LLC Cynthia Tarner Dennis Taylor Taylor Capital Management Inc. [read post]
28 Apr 2017, 8:35 am
The White Law Group continues to investigate potential securities fraud claims involving broker-dealers’ improper recommendation that some investors purchase REITs such as a Behringer Harvard REIT. [read post]
21 Apr 2022, 12:52 pm
According to GWG, the investigation of these broker-dealers harmed GWG’s reputation in the marketplace and prevented it from raising more capital through sales of GWG L Bonds. [read post]
28 Feb 2022, 5:18 am
If there are too many investors in a SPAC, then a capital short fall may occur. [read post]
3 Jan 2019, 2:10 pm
If you questions related to these standards or other SEC initiatives or regulatory standards, please call us at Cosgrove Law Group, LLC. [read post]
6 Feb 2023, 12:56 pm
According to FINRA, on April 27, 2018, GPB Capital sent a letter to many broker-dealers that sold GPB Capital-offerings. [read post]
23 Sep 2021, 8:41 am
Based on the features of USD Coin as disclosed by Circle Internet Financial, LLC in July, the group believes it looks remarkably similar to another class of pooled investment products—money market funds.They argued that the holdings, marketing, and purported uses of USD Coin appear to draw parallels to both money market funds and bank deposits, and yet neither the stablecoin nor its dealers are complying with the securities or banking laws. [read post]
