Search for: "A&B Financial Group, Inc."
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28 Mar 2024, 10:36 am
FINRA BrokerCheck Report – Juan Carlos Sosa According to this FINRA BrokerCheck report, Juan Carlos Sosa was affiliated with the following firms during his career in the securities industry: 08/03/2022 – 03/21/2024, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), STUDIO CITY, CA, B, 10/31/2005 – 07/18/2022, SAGEPOINT FINANCIAL, INC. [read post]
20 Nov 2017, 12:08 pm
FINRA Censures First Allied Securities for Mutual Fund Sales charge waivers According to the Financial Industry Regulatory Authority, First Allied Securities, Inc. [read post]
12 Jun 2014, 2:26 pm
The CFPB found Stonebridge guilty of violating Section 8(a) and 8(b) of RESPA. [read post]
13 Nov 2018, 12:01 pm
According to BrokerCheck records financial advisor Clarence McGill (McGill), formerly registered with GWN Securities Inc. [read post]
19 Apr 2023, 11:50 am
(CRD#:10205), Seattle, WA, B, 04/24/2018 – 11/06/2020, KMS FINANCIAL SERVICES, INC. [read post]
21 Jun 2017, 9:20 am
FINRA Fines MA Investment Advisory Firm, Citizens Securities According the Financial Industry Regulatory Authority, Citizens Securities, Inc. [read post]
21 Jun 2017, 9:20 am
FINRA Fines MA Investment Advisory Firm, Citizens Securities According the Financial Industry Regulatory Authority, Citizens Securities, Inc. [read post]
26 Jul 2018, 12:04 pm
For a limited time, MacKenzie Realty Capital, Inc. will pay you $15.00 per Class A Share, $11.27 per Class B-1 Share, and $10.00 per Class B-2 Share,” according to the letter. [read post]
11 Apr 2013, 11:08 am
Prior to working for Cambridge Investment Research, Inc., Sandru was registered with LPL Financial Corporation. [read post]
1 Nov 2023, 12:38 pm
(CRD#:23131), MORGANTOWN, WV, B, 08/27/1986 – 11/02/2018, SIGNATOR INVESTORS, INC. [read post]
15 Nov 2023, 8:55 am
FINRA BrokerCheck Report – John Fagan According to this FINRA BrokerCheck report, John Fagan was affiliated with the following firms during his career, among others: B, 11/11/2011 – 12/31/2021, RAYMOND JAMES & ASSOCIATES, INC. [read post]
25 Jun 2014, 5:00 am
Pepper Snapple group, Inc., Macey’s Inc., and Tupperware Brands Corporation. [read post]
30 Dec 2010, 7:40 pm
(Attachments: # (1) Notice # (2) Exhibit A (Victor Declaration)# (3) Exhibit B (Engagement Letter)# (4) Exhibit C (Proposed Order)) Application to Employ/Retain Huron Consulting Group, Consultants to the Debtors as Dalton T. [read post]
16 Dec 2011, 5:30 pm
Myer and Strider Marketing Group, Inc. are referred to as Myer. motion to vacate the award. [read post]
12 Dec 2023, 1:05 pm
(CRD#:173962), Williamsville, NY, B, 02/23/2018 – 06/02/2021, SAGEPOINT FINANCIAL, INC. [read post]
16 Aug 2017, 10:59 am
Legend Securities Censured and Fined According to the Financial Industry Regulatory Authority, on June 22, 2017, an OHO Decision became final in which Legend Securities, Inc. [read post]
24 Mar 2021, 11:38 am
By Eric B. [read post]
4 Apr 2021, 12:00 pm
Currently, Carrick is registered at the Jeffrey Mathews Financial Group, LLC. [read post]
1 Jun 2010, 8:08 am
Satisky was also President of the trade group, Maryland Association of Financial Service Centers, Inc., and was on the board of directors of Financial Service Centers of America (FiSCA), a national trade group representing money service businesses. [read post]
13 Feb 2024, 10:47 am
Broker Brett Hartvigson was reportedly affiliated with the following firms during his career, among others: 04/06/2009 – 10/27/2023, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), SAN DIEGO, CA, B, 02/24/2006 – 05/29/2009, LPL FINANCIAL CORPORATION (CRD#:6413), SAN DIEGO, CA B, 07/01/2002 – 02/27/2006, THRIVENT INVESTMENT MANAGEMENT INC. [read post]
