Search for: "Capital Alliance Financial, LLC"
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1 Feb 2022, 4:08 pm
Medicare Part C pays a capitated amount to private health insurance carriers for each patient enrolled in their plans, rather than a payment for each distinct patient admission or service. [read post]
24 Jan 2022, 2:01 pm
Supreme Alliance LLC Jason Kai Vanguard Marketing Corporation Cambridge Investment Research, Inc. [read post]
8 Nov 2021, 1:01 pm
Supreme Alliance LLC Johnnie Jones Network 1 Financial Securities Inc. [read post]
27 Sep 2021, 12:59 pm
Alvarez, managing principal at BridgeCounsel Strategies LLC. [read post]
6 Aug 2021, 6:00 am
Jackson (Harvard Law School) and Morgan Ricks (Vanderbilt Law School), on Thursday, August 5, 2021 Tags: Banks, Bitcoin, Cryptocurrency, Federal Reserve, Financial institutions, Financial regulation, Financial technology, FSOC, Glass-Steagall, Stablecoins 2021 Proxy Season Review Posted by Shirley Westcott, Alliance Advisors, on Thursday, August 5, 2021 Tags: Climate… [read post]
21 May 2021, 5:54 am
Cottingham, Jenner & Block LLP, on Sunday, May 16, 2021 Tags: Accounting, Banks, Beneficial owners, Corporate Transparency Act, Disclosure, Financial institutions, Financial regulation, Financial reporting, FinCEN, LLCs, Money laundering SEC Considering Heightened Scrutiny of Projections in De-SPAC Transactions Posted by George Casey, Adam Hakki, and Roger Morscheiser, Shearman & Sterling LLP,… [read post]
3 May 2021, 1:54 pm
Megurditch “Mike” Patatian (CRD# 4047060) is a former registered broker and investment advisor whose most recent employer was Supreme Alliance LLC (CRD#: 45348). [read post]
21 Apr 2021, 9:37 am
PRIVATE CLIENT SERVICES, LLC ROYAL ALLIANCE ASSOCIATES, INC. [read post]
20 Nov 2020, 6:00 am
Securities and Exchange Commission, on Thursday, November 19, 2020 Tags: Compliance and disclosure interpretation, Disclosure, Investment advisers, Investor protection, Retail investors, SEC, SEC enforcement, Securities enforcement, Securities fraud, Whistleblowers A Sober Look at SPACs Posted by Michael Klausner (Stanford University), Michael Ohlrogge (NYU), and Emily Ruan (Stanford University), on Thursday, November 19, 2020 … [read post]
16 Jun 2020, 6:40 am
According to FINRA Disciplinary actions for May 2020, 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 George Belesis Portfolio Advisors Alliance, LLC John Thomas Financial Dustin Blount MML Investors Services, 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… [read post]
13 Dec 2019, 6:39 am
Repple & Co., International Assets Advisory, Gramercy Securites, Kalos Capital, Lucia Securities, Lion Street Financial, The Strategic Financial Alliance, United Planner’s Financial Services. [read post]
6 Sep 2019, 3:00 am
Weber’s activities at Mercury LLC have been under scrutiny by federal prosecutors in New York investigating whether he and others complied with laws requiring those working for a foreign country or political party to register with the Justice Department. [read post]
28 Aug 2019, 5:24 am
LLC, and a variety of other services from the private sector. [read post]
20 Aug 2019, 3:29 pm
Funds offered by GPB Capital Holdings LLC (“GPB”) have shown signs of distress for some time now. [read post]
19 Aug 2019, 7:28 am
Thompson on suspicion of downloading nearly 30 GB of 100 million Capital One Financial Corp credit applications from a rented cloud data server. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc … [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc… [read post]
15 May 2019, 3:45 pm
The SEC alleged that AGF II, which raised capital from investors to provide loans to businesses, and its owner, Ralph C. [read post]
