Search for: "Capital One Financial Advisors, LLC"
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17 Feb 2018, 12:00 am
For more information, visit Medina Law Group or Private Client Capital Group. [read post]
26 Dec 2019, 9:02 am
(Kalos Capital) has been subject to at least one customer complaint, one regulatory action, and one financial disclosure during the course of his career. [read post]
30 Dec 2019, 5:47 am
Advisor Jeffrey Dixson (Dixson), currently employed by Madison Avenue Securities, LLC (Madison Avenue) has been subject to at least seven customer complaints and one regulatory action during the course of his career. [read post]
1 Apr 2021, 7:32 am
He pleaded guilty to one count of securities fraud and was sentenced to 42 months in prison, according to Think Advisor. 7-Paul Horton Smith Sr., eGate, LLC, Planning Services, Inc. [read post]
14 Sep 2022, 12:32 pm
The advisor must conclude that the investment is suitable for at least some investors and some securities may be suitable for no one. [read post]
2 Jul 2018, 2:03 pm
One of these protections exists in the form of the “fiduciary duty” that investment advisors owe to their clients. [read post]
7 May 2021, 7:06 am
The White Law Group is investigating potential securities claims involving broker dealers and financial advisors who may have unsuitably recommended JABL LLC to investors. [read post]
17 Feb 2017, 1:22 pm
However, according to FINRA BrokerCheck, Howard was registered as a financial advisor with One America Securities in Dallas Texas, from 03/26/2010 – 02/23/2015. [read post]
12 Jul 2021, 2:48 pm
Filing a Complaint against your Brokerage Firm The White Law Group is investigating FINRA arbitration cases involving financial advisor Christopher Orlando and the liability Worden Capital Management may have for failure to properly supervise him. [read post]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
7 May 2021, 5:13 am
The White Law Group is investigating potential securities claims involving broker dealers and financial advisors who may have unsuitably recommended Buddy Mac Holdings LLC to investors. [read post]
6 Oct 2019, 10:19 am
Volpe, formerly registered with First Financial Equity Corporation (First Financial) and LPL Financial LLC (LPL Financial) was subject to an investigation by The Financial Industry Regulatory Authority (FINRA) over these allegations. [read post]
20 Dec 2016, 7:01 am
The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including broker litigation & arbitration, transition contract review, employment matters, FINRA defense , and much more. [read post]
8 Jul 2020, 7:20 am
(CRD# 4031), 1717 Capital Management Company (CRD# 4082), AXA Advisors, LLC (CRD# 6627), and The Equitable Life Assurance Society of the United States (CRD# 1039). [read post]
22 Nov 2016, 6:49 am
From September 2011 through July 2013, Lerner was associated with Broadband Capital Management, LLC. [read post]
24 Jun 2019, 1:21 pm
In today’s episode, Victor tackles the question, “Are my financial advisors working in my best interest? [read post]
17 Aug 2020, 9:39 am
According to PrivateFundData.com, the Vida Longevity Fund is one of two hedge funds managed by Vida Capital Management, LLC. [read post]
6 Dec 2018, 10:11 am
March 2010 until August 2015 Pepe was associated with JHS Capital Advisors, LLC. [read post]
26 Oct 2017, 4:22 am
From February 2011 until April 2011 Iraggi was associated with Spartan Capital Securities, LLC. [read post]
9 Apr 2021, 10:05 am
In April 2018 Hirons was discharged by RBC Capital Markets, LLC when the firm alleged that he was terminated for violating the firm’s order execution policy. [read post]
