Search for: "Summit Brokerage Services"
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10 Jul 2017, 2:37 pm
Hoffman was registered with Summit Brokerage Services in Brunswick, GA from 05/06/2013 – 03/01/2016. [read post]
9 Jul 2017, 8:56 am
Clay Hoffman, a registered representative from Brunswick, Georgia, formerly with Summit Brokerage Services and Suntrust Investment Services was barred from FINRA membership as a result of failing to cooperate with a FINRA investigation. [read post]
26 Jun 2017, 12:31 pm
If so, The White Law Group may be able to help you recover your losses by filing FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
16 Jun 2017, 5:55 am
Thereafter, from May 2013 until March 2016, Hoffman was associated with Summit Brokerage Services, Inc. out of the firm’s Brunswick, Georgia office location. [read post]
19 May 2017, 8:52 am
Most recently, Yocum worked with Morgan Stanley from 2009 through 2015 and Summit Brokerage Services, Inc. from December 2015 to March 2016. [read post]
20 Apr 2017, 1:49 pm
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker James Vernon Regier (Regier), formerly associated with Summit Brokerage Services, Inc. [read post]
8 Feb 2017, 6:40 am
Kiefer has been associated with Summit Brokerage Services, Inc. out of the firms Colts Neck, New Jersey office location. [read post]
8 Feb 2017, 6:40 am
Kiefer has been associated with Summit Brokerage Services, Inc. out of the firms Colts Neck, New Jersey office location. [read post]
23 Dec 2016, 6:50 am
After leaving SagePoint, Vilord became registered with Summit Brokerage Services, Inc. in Turnersville, NJ. [read post]
25 Nov 2016, 7:00 am
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has fined eight firms which include Voya Financial Advisors, Kestra Investment Services, FTB Advisors and five broker-dealer subsidiaries of Cetera Financial Group, comprising of Cetera Advisor Networks, Cetera Financial Specialists, First Allied Securities, Summit Brokerage Services and VSR Financial Services.FINRA fined these firms for selling L-share variable annuities that were only suitable for a… [read post]
23 Nov 2016, 1:26 pm
From August 2015 through October 2016, DiGaetano was associated with Summit Brokerage Services, Inc. [read post]
15 Nov 2016, 3:33 pm
Summit Brokerage Services, Inc. [read post]
3 Nov 2016, 7:20 am
Cetera Advisors, First Allied, Summit Brokerage and VSR will collectively pay customers at least $4.5 million and Voya was ordered to pay its customers at close to $1.8 million. [read post]
6 Sep 2016, 7:53 am
The most recent complaint was filed in March 2016, and alleged that James Noto, while employed at Summit Brokerage Services (Summit), recommended an unsuitable investment in a variable annuity. [read post]
5 Aug 2016, 11:14 am
The Company currently provides fee-based natural gas gathering and compression services. [read post]
3 Aug 2016, 5:25 am
Andrew Todd Yocum, formerly of Morgan Stanley, The Villages, FL and Summit Brokerage Services, Lady Lake, FL has been subject to seventeen customer complaints since May 19th, 2015, according to Broker Check by the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jul 2016, 9:43 am
From October 2008 until October 2011, Langweiler was associated with Summit Brokerage Services, Inc. [read post]
20 Mar 2016, 8:59 am
From December 2015 until March 2016, Yocum was associated with Summit Brokerage Services, Inc. out of the firm’s Lady Lake, Florida office location. [read post]
18 Jan 2016, 2:05 pm
The White Law Group continues to investigate the liability that brokerage firms may have for improperly recommending MLP investments (and, in particular) oil and gas MLPs. [read post]
15 Jan 2016, 1:17 pm
Significant services – The preamble explains that a partnership provides “significant services” if its personnel have an ongoing or frequent presence at the site of the section 7704(d)(1)(E) activity. [read post]
