Search for: "CA Investment Group, LLC"
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6 Jun 2023, 7:49 am
(CRD#:39262), WESTLAKE VILLAGE, CA B, 11/18/2013 – 04/29/2015, FINANCIAL WEST GROUP (CRD#:16668) FINRA expelled the firm on 02/13/2020, RENO, NV Investigating Claims The White Law Group is investigating potential securities claims involving Moloney Securities and its alleged failure to supervise former broker Jeffrey Cohen. [read post]
1 Jun 2023, 8:17 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
28 Mar 2023, 8:52 am
Sevag Haddadian (Sevag Raffi Haddadian CRD# 3249290) is a previously registered broker and investment advisor whose last known employer was Wells Fargo Clearing Services, LLC (CRD#:19616) of Brea, CA. [read post]
23 Mar 2023, 7:26 am
His previous employers were Western International Securities (CRD# 39262) of Westlake Village, CA, Independent Financial Group, LLC (CRD# 7717) of Sherman Oaks, CA, and Royal Alliance Associates, Inc. [read post]
23 Feb 2023, 9:01 pm
What those numbers don’t tell you is that these cases cover alleged conduct including the largest Non-Fungible Token (NFT) scheme charged to date, a $2.4 billion Ponzi scheme involving the sale of unregistered cryptocurrency securities, and global investment fraud schemes involving over a hundred million dollars in losses. [read post]
22 Feb 2023, 9:35 am
MORGAN SECURITIES LLC (CRD#:79), LOS ANGELES, CA Antoine Souma reportedly has three customer complaints filed against him indicated by his broker record. [read post]
7 Feb 2023, 5:27 am
She is the co-founder and CEO of TechEquity Collaborative, an organization based in Oakland, CA, that mobilizes tech workers and companies to advocate for economic equity in our communities. [read post]
21 Dec 2022, 7:30 am
Torrez was reportedly affiliated with PFS Investments in San Diego, Ca from January 2009 until January 29, 2021. [read post]
20 Dec 2022, 9:11 am
(CRD#:6363), Los Angeles, CA B, 03/21/2007 – 07/07/2015, LPL FINANCIAL LLC (CRD#:6413), MANHATTAN BEACH, CA Recovery of Investment Losses through FINRA Arbitration The White Law Group is investigating potential securities claims involving John Matson and the liability his employers may have for failure to supervise him. [read post]
2 Dec 2022, 7:42 pm
California Donor Advised Fund Survey – there may be convenings of stakeholders if there are potential laws being contemplated Working with the IRS Post-Pandemic NEO Law Group Principal Erin Bradrick joined two nonprofit law luminaries Doug Mancino and Marcus Owens in a session moderated by Debi Heiskala. [read post]
18 Nov 2022, 9:37 am
MORGAN SECURITIES LLC (CRD#:79), SAN FRANCISCO, CA, B, 04/03/1995 – 12/06/2005, LEHMAN BROTHERS INC. [read post]
3 Oct 2022, 4:25 am
Servs., Inc., CA No. 3290-VCP [Del Ch May 18, 2009]). [read post]
10 Aug 2022, 8:54 am
If you are concerned about investments with Robin Taliaferro, the securities attorneys at The White Law Group may be able to help you. [read post]
18 Jul 2022, 2:46 pm
ClientEarth contends this strategy will harm the long-term competitiveness of Shell itself and constitutes a breach of the directors’ statutory duties to: promote the success of the company for the benefit of its members as a whole (section 172 of the Companies Act 2006 (“CA 2006”)); and exercise reasonable care, skill and diligence in the discharge of their duties (section 174 of the CA 2006). [read post]
14 Jul 2022, 8:28 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
15 Jun 2022, 3:03 am
Miller, Esq., is Senior Vice President, Global Information Governance Advisory Services Leader at HaystackID, based in Los Angeles, CA. [read post]
13 Jun 2022, 12:23 pm
(CRD#:42132), GRANADA HILLS, CA Recovery of Investment Losses through FINRA Arbitration The White Law Group is investigating potential securities claims involving the Megurditch “Mike” Patatian and the liability his employers may have for failure to supervise him. [read post]
9 Jun 2022, 7:56 am
(CRD#:5393), SAN FRANCISCO, CA Recovery of Investment Losses through FINRA Arbitration When brokers and registered investment advisors violate securities laws, such as churning accounts or making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
21 May 2022, 11:11 am
If it is, may need to meet PRI requirementsIf DAF, a grant seems clearly to be a distribution, but is a loan a distribution or investment? [read post]
18 May 2022, 6:39 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
