Search for: "Capital One Financial Advisors, LLC"
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16 Dec 2021, 10:30 am
For more information on the firm’s investigation of Hospitality REITS, please see the following: Did your Financial Advisor Recommend Investing in Non-Traded REITs? [read post]
6 Jan 2020, 1:32 pm
He and his associate Christopher Parris solicited investments in their companies, which were supposedly involved in financial services, insurance, and real estate, including First Nationle Solution LLC, Percipience Global Corp., and United RL Capital Services. [read post]
21 Apr 2016, 11:12 am
If you are in need of legal services, contact us to schedule a one-on-one consultation today. [read post]
11 Jun 2018, 7:54 am
If you invested in Woodbridge upon the recommendation of former financial advisor Frank Roland Dietrich (“Dietrich”), you may be able to recover your losses in arbitration before the Financial Industry Regulatory Authority (“FINRA”). [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]
26 May 2019, 5:45 am
Advisor Ashley Woodard (Woodard), currently employed by NYLife Securities LLC (NYLife Securities) has been subject to at least five customer complaints, one tax lien or judgment, and one bankruptcy. [read post]
16 Apr 2019, 10:53 am
Saljooki is formerly employed by Worden Capital Management LLC (Worden Capital) but has worked for a total of nine firms during his 12 year career. [read post]
21 Sep 2022, 5:57 am
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]
28 Jan 2020, 3:02 pm
From October 2017 until January 2019 Agnihotri was employed by Spartan Capital Securities, LLC. [read post]
10 Oct 2019, 7:28 am
Advisor Adam Lunceford (Lunceford), currently employed by LPL Financial LLC. [read post]
28 Dec 2018, 6:24 am
(Westminster Financial) has been subject to three customer complaints, one employment termination for cause, and one regulatory action. [read post]
26 May 2021, 1:26 pm
[A]round that same time, contrary to the diversified investment strategy Defendants touted, Prophecy began allocating a vast majority of the capital in its two funds to a single sub-advisor, Brian Khan, who lost a substantial, if not the entire, amount . . . [read post]
9 Dec 2019, 5:34 pm
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Nicholas Schiano (Schiano), currently employed by Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least two customer complaints during the course of his career. [read post]
21 Apr 2022, 10:41 am
Did your Centaurus Financial advisor recommend investing in GWG L Bonds? [read post]
10 Aug 2022, 6:14 am
From 2008 – 2020 he was reportedly doing business as Shafer Financial Group, a purported independent agency through Money Concepts Capital Corp. [read post]
4 Dec 2009, 12:29 pm
Brokers who recommended either one of these investments have a lot of explaining to do. [read post]
25 Jun 2020, 8:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Weisberg (Weisberg), formerly associated with Worden Capital Management LLC (Worden Capital), has been subject to at least four customer complaints and one regulatory action during his career. [read post]
15 Oct 2014, 2:30 pm
Background Prior to trial, the other defendants – Rural’s board of directors and its “secondary” financial advisor, Moelis & Company LLC – agreed in principle with plaintiffs to settle the action. [read post]
4 Sep 2018, 2:24 pm
(Woodstock Financial) broker Joseph Derrico (Derrico) has been subject to two disclosed customer complaints, one regulatory complaint, and one criminal matter. [read post]
20 Feb 2020, 7:54 am
From November 2006 through March 2016 Godin was registered with RBC Capital Markets, LLC. [read post]
