Search for: "PHILLIP INVESTMENTS LLC"
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28 Sep 2023, 11:43 am
Dennis Phillip Ayre, a previously registered broker and investment adviser, is subject to multiple customer disputes, according to his Brokercheck Report. [read post]
31 Jan 2022, 8:44 am
FINRA Bars Financial Advisor Dennis Ayre after Allegations of Unsuitable Investments According to the Financial Industry Regulatory Authority on January 28, 2022 the regulator has reportedly barred financial advisor Dennis Phillip Ayre (CRD#: 5365176) from the securities industry.Ayre reportedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into the suitability of certain investment recommendations he made… [read post]
30 Mar 2024, 5:14 am
Nov. 20, 2023); Beba LLC v. [read post]
13 Oct 2010, 6:00 am
To date, sixteen firms have endorsed the Code: investment firms The Carlyle Group, Riverstone Holdings LLC, Pacific Corporate Group Holdings, LLC, HM Capital Partners I, Levine Leichtman Capital Partners, Access Capital Partners, Falconhead Capital, Markstone Capital Group, Ares, Freeman Spogli, Quadrangle, and GKM; placement agent Wetherly Capital Group; political consulting firm Global Strategy Group; lobbying firm Platinum Advisors; and law firm Manatt Phelps &… [read post]
17 Sep 2015, 6:21 am
”The proposed rule will be out for a 60-day comment period.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 2019, 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 Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade Securities … [read post]
28 Jan 2019, 10:04 am
Carter, who is the principal of North Forty Development LLC and Texas Cash Cow Investments, is accused of then misappropriating $1.2M in investor funds for his own expenses, including a personal IRS tax lien and to operate a luxury hunting ranch. [read post]
4 Nov 2014, 3:06 pm
According to InvestmentNews, Securities America recently announced that the firm has suspended the sales Phillips Edison-ARC Grocery Center REIT II and Cole Capital Properties V. [read post]
12 Jan 2018, 8:51 am
Wells Fargo Advisors, LLC Manuel Tomas Paredes Worden Capital Management LLC Spartan Capital Securities, LLC Phillip Eugene Pistilli Joseph Stone Capital LLC Spartan Capital Securities, LLC Charles Courtney Sandoval Allstate Financial Services, LLC SII Investments, Inc. [read post]
13 Mar 2013, 6:00 am
Stephens SEC Order: Ranieri Partners LLC and Donald W. [read post]
6 Mar 2018, 8:13 am
Morgan Securities LLC Benjamin Phillip Brown State Farm VP Management Corp. [read post]
3 Jan 2019, 5:54 am
Baird & Co, Inc Schreiner, Phillip Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith, Inc Sterr, Margaret M Holdings Securities, Inc Catalyst Solutions Group Suhar, Charles The Huntington Investment Company LPL Financial LLC Swords, Zachary Farmers Financial Solutions, LLC Valenzuela, Francisco Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith, Inc… [read post]
27 Feb 2013, 7:30 am
Quiros, (“LLC”) to recover a refund of certain investments made in the corporation in 1999. [read post]
25 Nov 2019, 9:56 am
Many of the claims involving Flynn Wealth Management relate to investments in REITS such as Phillip Edison REIT, Business Development Corp of America (BDC), Hospitality Investors Trust, and others. [read post]
2 Oct 2018, 5:40 am
Gretchen Jenkins LPL Financial LLC ESL Investment Services, LLC Phillip Johnson D.H. [read post]
14 Oct 2014, 8:15 am
Attorney Phillip L.B. [read post]
18 Jan 2016, 2:05 pm
Like other oil and gas investment vehicles or real estate investment vehicles, MLPs are subject to the change in market conditions of those underlying sectors. [read post]
30 Jan 2019, 1:03 pm
Edwards & Sons Uribe, Juan Wells Fargo Clearing LLC JP Morgan Securities Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
22 Feb 2019, 7:40 am
” Jim Phillips discusses some of the requirements and traps of Section 1202. [read post]
21 Apr 2009, 6:52 am
On March 11, 2009, an Alabama Financial Industry Regulatory Authority (FINRA) arbitration panel awarded Phillip Willingham and Melinda Oates $187,000 for their claim against Memphis-based Morgan Keegan. [read post]
