Search for: "Custom Estates, LLC"
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15 Aug 2014, 10:25 am
The former LPL Financial broker was accused of falsifying customer purchase forms involving real estate investment trusts (REITs) and alternative investments. [read post]
14 Aug 2014, 4:09 pm
This article is the second in a series of articles on how EB-5 regional centers and sponsors can evaluate broker-dealer, investment company and investment adviser registration requirements under U.S. securities laws. [read post]
4 Aug 2014, 6:26 am
Another customer complaint concerns the recommendation of oil & gas and real estate related private placements. [read post]
3 Aug 2014, 11:34 am
AVENTURA TENNIS, LLC, INC., Appellee. 3rd District.Injury LawAdams, et al. v. [read post]
29 Jul 2014, 5:57 pm
The customer complaints against Bracey concern private placements (direct participation programs), equipment leasing investments, unsuitable investments, non-traded real estate investment trusts (REITs), and misrepresentations in the sale of securities. [read post]
23 Jul 2014, 5:55 am
Currently, Talebi is associated with Independent Financial Group, LLC. [read post]
21 Jul 2014, 6:06 am
(Citing an increasingly appalling list of precedents: Estate of Fuller v. [read post]
14 Jul 2014, 5:11 am
Thereafter, Frew became registered with Wells Fargo Advisors, LLC (Wells Fargo) in 2003. [read post]
9 Jul 2014, 7:45 pm
“You don’t write it into the contracts and basically steer customers to your affiliated company. [read post]
8 Jul 2014, 8:47 am
Krause of Krause Donovan Estate Law Partners, LLC. [read post]
25 May 2014, 5:27 am
Instead, the insurance industry become the resource for estate planning documents, no doubt giving discounts to customers with advance directives that prohibit resuscitation. [read post]
22 May 2014, 8:30 am
H&R Block Enterprises, LLC, Case No. 13-2076 (8th Cir. [read post]
13 May 2014, 10:48 am
In addition, he had the Canadian attorney transfer funds to a domestic entity, Charlestal, LLC, to purchase real estate in the U.S., which included a historic building in Illinois for $900,000. [read post]
25 Apr 2014, 6:30 am
“LPL exposed customers to unacceptable risks by not having an adequate system in place,” said FINRA enforcement chief Brad Bennett. [read post]
11 Apr 2014, 3:11 pm
The FINRA fine that topped the list was that handed to, again, LPL Financial LLC in the amount of $9 million (including a fund set up to compensate customers) for "systemic email failures" and "misstatements to FINRA," reported on May 21, 2013. [read post]
7 Apr 2014, 11:10 pm
Krause of Krause Donovan Estate Law Partners, LLC. [read post]
4 Apr 2014, 5:40 am
Chapter 13 is not available to partnerships (although individual partners may file), corporations or LLCs that operate businesses. [read post]
1 Apr 2014, 5:42 am
According to customers of Mallett, she used deception, false pretenses, false promises, and made misrepresentations and omitted material facts in steering clients into money losing real estate investments and other private placements and non-traditional ETF securities. [read post]
27 Mar 2014, 12:14 pm
LPL Financial LLC has been hit again for supervisory failures stemming from the recommendation of non-traded real estate investment trusts (REITs), as well as other illiquid investments, begging the question whether the fines are large enough to deter future bad conduct. [read post]
25 Mar 2014, 5:40 am
Eagle Steward Wealth Management LLC, resulted in an award of $530,449 in damages to the claimant. [read post]
