Search for: "Affiliated Financial Group, Inc."
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20 Jun 2023, 8:17 am
Holts was reportedly affiliated with the following firms during his career: 10/09/2020 – 07/15/2021, WORLD CAPITAL BROKERAGE, INC. [read post]
15 Jun 2023, 9:01 pm
To the extent that trademarks subsist in those names, the Supreme Court’s recent decision in Jack Daniel’s Properties, Inc. v. [read post]
13 Jun 2023, 11:54 am
Recently, PGX Holdings, Inc. [read post]
12 Jun 2023, 2:08 pm
Cetera Advisors and Cetera Advisor Networks – Review of Regulatory History The White Law Group reviews the regulatory history of FINRA-registered broker dealers, Cetera Advisors LLC and Cetera Advisor Networks LLC, wholly owned subsidiaries of Cetera Financial Group. [read post]
9 Jun 2023, 12:54 pm
According to his FINRA BrokerCheck report, Benjamin was reportedly affiliated with the following firms during his career: 07/29/2020 – 04/12/2022, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
6 Jun 2023, 7:49 am
Cohen was reportedly affiliated with the following firms during his career: 07/31/2015 – 11/30/2021, MOLONEY SECURITIES CO., INC. [read post]
26 May 2023, 11:29 am
(CRD#:6312), LAND O’ LAKES, FL, B, 11/04/2010 – 04/10/2013, NEWPORT COAST SECURITIES, INC. [read post]
18 May 2023, 1:21 pm
Twitter, Inc. v. [read post]
17 May 2023, 12:30 pm
CFP Board Announces Imposed Sanctions on 22 Certified Financial Planners The CFP Board refers to the Certified Financial Planner Board of Standards, Inc. [read post]
17 May 2023, 11:30 am
The Mass. broker was also registered as an investment advisor with Capital Planning Group of Massachusetts, Inc. [read post]
10 May 2023, 9:01 pm
(For example, lenders to Starry, Inc. and its affiliated debtors have agreed to support the equitization of their debt under a stand-alone reorganization plan, unless the company’s parallel marketing process yields a better third-party bid). [read post]
9 May 2023, 9:01 pm
The questionnaire should also solicit information about any “golden handcuff” arrangements, whereby the nominating stockholder or its affiliates will reward the nominee for achieving a particular result as a director (e.g., sale of the corporation, stock price increase, or implementation [read post]
1 May 2023, 8:42 am
Broker Damian Baird was reportedly affiliated with the following firms during his career: 06/05/2020 – 02/27/2023, MOORS & CABOT, INC. [read post]
17 Apr 2023, 7:03 am
Aegis Broker Surage Roshan Perera Reportedly Arrested for 16 Count Fraud Charges According to a press release from the US Attorneys office on March 27, 2023, federal authorities arrested financial advisor Surage Roshan Perera, the founder and Executive Director of Janues Capital, Inc. in Bellerose, Queens, on securities fraud charges. [read post]
14 Apr 2023, 11:27 am
The White Law Group reviews the regulatory history of Prospera Financial Services Inc. [read post]
13 Apr 2023, 10:19 am
According to his FINRA BrokerCheck profile, Russell was reportedly affiliated with DEUTSCHE BANK SECURITIES INC. [read post]
13 Apr 2023, 5:13 am
The private AN Foundation, also known as the Disinformation Index Foundation, and its affiliated public charity, Disinformation Index Inc., redacted copies of their 2021 IRS tax returns. [read post]
11 Apr 2023, 11:53 am
The firm also failed to supervise one of its brokers in connection with an offering of Platinum Wealth Partners, Inc. [read post]
10 Apr 2023, 8:26 am
(CRD#:10641), Chattanooga, TN, B, 06/29/2012 – 03/13/2020, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
6 Apr 2023, 7:23 am
The White Law Group is investigating potential securities claims involving CFD Investments Inc. [read post]
