Search for: "Capital One Financial Advisors, LLC"
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5 Mar 2019, 6:54 am
As previously reported, both the SEC and FINRA have reportedly commenced investigations into GPB Capital Holdings, LLC (“GPB”). [read post]
18 Oct 2015, 6:43 am
Thereafter, from Apirl 2012 until July 2015, Jeffery was a registered representative of JHS Capital Advisors, LLC. [read post]
14 Dec 2015, 6:38 am
Streicher Capital LLC. [read post]
30 Dec 2020, 12:40 pm
The White Law Group is investigating potential securities claims involving broker dealers and financial advisors who may have unsuitably recommended AAA Florida Senior Living Fund I LLC to investors. [read post]
1 Oct 2019, 1:11 pm
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Michael Stanton (Stanton), currently employed by Worden Capital Management LLC (Worden Capital) has been subject to at least four customer complaints, two regulatory complaints, and nine financial disclosures and or tax and civil liens. [read post]
5 Mar 2007, 8:06 am
Highlights from the 2006 Year include: Sale of the Company's Enterprise Financials product line on October 31, 2006 for $12 million in cash and potential future contingent consideration to Computron Software, a subsidiary of Parallax Capital Partners, LLC, allowing full focus on the RCM product line and significantly improving AXS-One's financial position. [read post]
21 Apr 2022, 9:19 am
Emerson Equity Lawsuits: How to Recover Financial Losses involving GWG L Bonds Have you suffered losses investing in GWG L Bonds with Emerson Equity LLC? [read post]
18 Dec 2013, 6:01 am
Advisor Thomas Mikolasko, (Mikolasko) of HFP Capital Markets LLC (HFP) was recently suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Mikolasko engaged in the sale of $3 million in Senior Secured Zero Coupon Notes sold to 58 customers of HFP for Metals Millings and Mining LLC (MMM) in a private placement offering. [read post]
9 Sep 2015, 6:17 am
The Financial Industry Regulatory Authority (FINRA) barred former Cetera Advisors LLC (Cetera) broker Bruce Sabourin (Sabourin) after the broker failed to respond to a letter from the regulator requesting information. [read post]
Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placements
26 Aug 2014, 5:26 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Stephen Lard (Lard) concerning allegations that Lard recommended and sold various private-placement securities, that were speculative, high risk, and illiquid to customers three customers. [read post]
16 Mar 2016, 7:24 am
The SEC alleged that the associated persons were registered representatives for the broker-dealer that served as the underwriter for several municipal debt securities offerings for which the firm served as advisor (In the Matter of Central States Capital Markets, LLC, Mark R. [read post]
11 Mar 2019, 7:42 am
Many retail investors who were recommended GPB Capital Holding related investments by their financial advisors are asking the question “What’s next”? [read post]
8 Mar 2012, 7:52 am
One such hedge fund is the Harbinger Capital Partners Fund. [read post]
31 Dec 2018, 7:54 am
According to BrokerCheck records financial advisor Travis Hughes (Hughes), currently employed by Cetera Advisors LLC (Cetera) has been subject to twelve customer complaints and one employment termination for cause during his career. [read post]
26 Aug 2018, 7:59 pm
Cetera Financial Group is comprised of six independent brokerage firms with approximately 8,000 brokers and advisers, including Cetera Advisors, Cetera Advisors Network, First Allied Securities, Cetera Financial Institutions, Summit Financial Services, and Cetera Financial Specialists. [read post]
17 Jun 2021, 7:26 am
Potential Lawsuits to Recover Financial Losses Brokerage firms are required to adequately supervise their advisors. [read post]
23 Jan 2022, 2:49 pm
The recent appellate decision from Florida’s Second District Court of Appeal in Capital Wealth Advisors, LLC v. [read post]
21 Sep 2022, 5:57 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Mark Alexander Reffett (Reffett), currently employed by Arkadios Capital, has been subject to at least one customer complaint his career. [read post]
31 Aug 2022, 7:08 am
From November 2011 through September 2019, Ventruelli was registered with First standard Financial Company LLC. [read post]
19 Sep 2023, 7:00 am
The firms were Artemis Wealth Advisors, LLC; Trowbridge Capital Partners, LLC; MRA Advisory Group; McElhenny Sheffield Capital Management, LLC; Macroclimate, LLC; Linden Thomas Advisory Services, LLC; Hansen & Associates Financial Group, Inc.; Elm Partners Management, LLC; BTS Asset Management Inc. and Banorte Asset Management, Inc. [read post]
