Search for: "Independent Financial Group LLC"
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28 Dec 2018, 9:47 am
Jamison subsequently became associated with five different member firms until he joined Independent Financial Group, LLC in Salinas, California on September 8, 2016, and he voluntarily terminated his employment at IFG on May 30, 2017 before joining PNC Investments in Atlanta Georgia on June 16, 2017 where he remained until he voluntarily terminated his association on January 26, 2018, FINRA reports. [read post]
27 Dec 2018, 8:56 am
First Line Solutions LLC, 566 F. [read post]
20 Dec 2018, 10:19 am
Jon Richard Pariser (CRD #2755015) is a former registered broker whose last employer was Independent Financial Group, LLC (CRD #7717) of Pacific Grove, CA. [read post]
17 Dec 2018, 3:14 pm
Unchanged since its enactment in 1933, with no rules or regulations ever promulgated thereunder, the SEC started out charging Section 17(b) to combat touting fraud in a variety of mediums, including brochures, newsletters, and radio talk shows – wherever touters attempted to disguise their paid promotions as independent, objective analysis. [read post]
13 Dec 2018, 4:00 am
appeared first on Estate Planning and Elder Law LLC. [read post]
12 Dec 2018, 11:52 am
., a trailblazer in his own right who, among other notable accomplishments, helped found the Philadelphia Diversity Law Group. [read post]
11 Dec 2018, 10:04 am
Trunorth Warranty Plans, LLC, No. [read post]
10 Dec 2018, 3:16 pm
” Bitcoin is a virtual or digital currency that uses encryption techniques for governance and security and operates independent of any central bank. [read post]
3 Dec 2018, 1:44 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jon Pariser (Pariser), formerly associated with Independent Financial Group, LLC (Independent Financial) in Pacific Grove, California was sanctioned by FINRA resulting in a bar from the industry. [read post]
29 Nov 2018, 9:01 pm
It would also give new authority and independence to the city’s Office of Campaign Finance, long viewed as a weak enforcer, and require increased disclosures from independent expenditure committees. [read post]
28 Nov 2018, 4:15 pm
To name a few, these broker-dealers include: HighTower Securities, Advisor Group’s four independent broker-dealers – FSC Securities, SagePoint Financial Services, Woodbury Financial Services, and Royal Alliance Associates, in addition to Ladenburg Thalmann’s Triad Advisors. [read post]
19 Nov 2018, 7:34 am
Do not use this information without independent verification. [read post]
13 Nov 2018, 12:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jeffrey Schwebach (Schwebach), formerly associated with Independent Financial Group, LLC (Independent Financial) in Dell Rapids, South Dakota was terminated by the firm. [read post]
6 Nov 2018, 11:51 am
., Carval Investors LLC and other funds that specialize in distressed debt were interested in opportunities to finance Argentine companies, particularly where traditional bank lending may be more difficult to come by following the “notebooks scandal“. [read post]
24 Oct 2018, 4:33 pm
FireEye had previously released a December 1, 2014 report about a group of hackers called “FIN4. [read post]
18 Oct 2018, 4:51 am
Group, Ltd. v Higbridge House Ogden, LLC, 45 AD3d 487, 487 (1st Dept.2007). [read post]
15 Oct 2018, 9:00 am
LLC. [read post]
12 Oct 2018, 12:09 pm
”) Kim’s previous employers include Independent Financial Group, LLC (CRD #7717), Lincoln Financial Advisors Corporation (CRD #3978), both also of San Diego, and The Lincoln National Life Insurance Company (CRD #2580) of Fort Wayne, IN. [read post]
10 Oct 2018, 12:40 pm
Confront the issue head-on with independence, transparency and integrity. [read post]
1 Oct 2018, 6:35 am
Former Sandlapper Securities, LLC (Sandlapper) and Independent Financial Group, LLC (Independent Financial) broker Kyusun “Kenny” Kim (Kim) has been subject to at least 23 customer complaints and one regulatory action. [read post]
