Search for: "Security Financial Fund LLC"
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2 Feb 2021, 7:25 am
(CRD#:46214) and LPL Financial Corporation (CRD#:6413), also of Danbury, CT, and Wachovia Securities, LLC (CRD#:19616) of Ossining, NY. [read post]
1 Feb 2021, 9:15 am
It is alleged that all of the funds were funneled through commodity pools set up to funnel the fraudulently solicited funds– Highrise Advantage, LLC. [read post]
1 Feb 2021, 8:59 am
Lawsuit Filed Against Madison Avenue Securities alleges Unsuitable Investment Recommendations The White Law Group announces the filing of a FINRA arbitration claim against Madison Avenue Securities, LLC involving high-risk private placement investments. [read post]
29 Jan 2021, 8:04 am
Robinhood Financial LLC, January 28, 2021).Shares of GameStop had risen dramatically from a close of $18.84 on December 31 to a high of $482.85 on January 27, fueled by calls on Reddit’s "Wall Street Bets" online forum for retail traders to squeeze hedge fund Melvin Capital for taking an allegedly 100 percent short position in GameStop stock. [read post]
28 Jan 2021, 8:30 pm
They include the surgeon general, the National Labor Relations Board’s powerful general counsel, and the heads of the Consumer Financial Protection Bureau and the U.S. [read post]
28 Jan 2021, 6:09 pm
This gem of a 24-page opinion, which is relatively short for many Delaware opinions, was decided based on stipulated facts, which in a very simplified way, decided a claim by a limited partner in a hedge fund, who as limited partner in a limited partnership was owed a duty by the fund manager, which was structured as an LLC. [read post]
28 Jan 2021, 1:23 pm
Is furtherance of charitable purpose primary (over financial return)? [read post]
27 Jan 2021, 11:22 am
Worley and his businesses also defaulted on loans causing over $15 million in financial losses to the financial institutions and private equity funds. [read post]
22 Jan 2021, 1:00 pm
Publicly-available forms filed with the SEC list the following firms as receiving sales compensation for selling The Parking REIT: Accelerated Capital Group; Centaurus Financial, Inc.; Coastal Equities, Inc.; Crown Capital Securities, L.P.; Forest Securities, Inc.; Great Point Capital LLC; NI Advisors; Sandlapper Securities, LLC; Whitehall-Parker Securities, Inc. [read post]
22 Jan 2021, 11:43 am
His previous employers include American Asset Advisory, LLC (CRD#:168444), Accelerated Capital Group (CRD#:41270, expelled by FINRA on 11/26/2019) and Longview Financial Group, Inc. [read post]
22 Jan 2021, 11:28 am
James Couture (James Kenneth Couture CRD#: 4460284) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Worchester, MA. [read post]
22 Jan 2021, 2:25 am
Cyprus – On 22 December, the Cyprus Securities and Exchange Commission announced the introduction of a Temporary Permissions Regime to be made immediately available to UK-authorised investment firms to facilitate smooth post-Brexit transition. [read post]
21 Jan 2021, 8:30 pm
The former Michigan governor and her husband, Daniel Mulhern, reported owning from $4.4 million up to $16.8 million in corporate interests and private assets like residential real estate properties, according to her new financial disclosure report. [read post]
21 Jan 2021, 12:54 pm
The petitioner in Bridge Aina Le’a, LLC v. [read post]
21 Jan 2021, 6:58 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
20 Jan 2021, 8:30 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
19 Jan 2021, 9:22 am
The firm provides financial brokerage services and specializes in buying and selling securities such as stocks, bonds, and mutual funds, according to Bloomberg. [read post]
19 Jan 2021, 8:16 am
A brokerage firm or broker-dealer is in the business of buying and selling securities- stocks, bonds, mutual funds and certain other investment products on behalf of its customer for its own bank. [read post]
14 Jan 2021, 9:14 am
The plaintiffs in the case, led by Patti’s Pitas LLC and Queen City Tours, told the court they reached an agreement with Wells Fargo as they asked for a preliminary approval of the deal, which also includes changes to the financial company’s practices that they say will save customers $50 million a year. . . . [read post]
13 Jan 2021, 12:14 pm
Before his employment with LPL Financial LLC, Mr. [read post]
