Search for: "Bar Works Capital, LLC"
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29 Nov 2023, 8:59 am
FINRA Bars Keith Curtis after Allegations of Conversion of Funds According to public records, on November 16, 2023, FINRA, the self-regulator that oversees brokers and brokerage firms, has reportedly barred financial advisor Keith Curtis (CRD#: 4798755) from associating with any FINRA member at any time. [read post]
29 May 2023, 8:48 pm
Someday, perhaps, I’ll find the comedic inspiration to come up with a joke that begins, “An LLC, a partnership, and a close corporation walk into a bar . . .. [read post]
14 Mar 2013, 8:25 am
The Financial Industry Regulatory Authority (FINRA) issued a news release on March 7, 2013 announcing that it had permanently barred Mr. [read post]
3 Nov 2021, 8:07 am
(CRD#:7870), MORRISTOWN, NJ07/19/2010 – 09/16/2013, FIDELITY BROKERAGE SERVICES LLC (CRD#:7784), WAYNE, NJ12/01/2008 – 05/19/2010, BARCLAYS CAPITAL INC. [read post]
26 Sep 2022, 8:59 am
Appelbaum Barred after Allegations of Unsuitable Structured Products Sales appeared first on The White Law Group. [read post]
27 Apr 2023, 9:45 am
The post GAO Upholds Low Agency Bar to Waive OCI first appeared on SmallGovCon - Government Contracts Law Blog. [read post]
20 Oct 2022, 5:43 am
FINRA Reportedly Bars Advisor Mitchell Biernick after allegations of Unsuitable Recommendations According to the Financial Industry Regulatory Authority (FINRA) on October 18, 2022, the regulator has barred Mitchell Biernick (CRD #2690172) from working in the securities industry after he reportedly refused to appear for on the record testimony. [read post]
24 Apr 2018, 12:15 pm
Prior to that, he worked form Morgan Stanley in Los Angeles, CA from August 2013 until March 2015. [read post]
27 May 2021, 7:47 am
He was reportedly registered with Southeast Investments, NC Inc. in Charlotte, NC for 7 years and prior to that he worked for Capital Investment Group, Inc. [read post]
19 Feb 2021, 7:40 am
Jonah Engler Global Arena Capital Corp HFP Capital Markets LLC David Fleming, Jr. [read post]
17 Aug 2020, 4:36 am
” Partnership Agreement’s Restrictions on Access to Books and Records is No Bar to Discovery Rights in Plenary Action The question presented in a second case before Justice Borrok, Younker v GPB Capital Holdings, LLC, 2020 NY Slip Op 32121(U) [Sup Ct NY County July 1, 2020], was the extent to which the partnership agreement’s provisions governing access to books and records either augmented or restricted the plaintiff limited partners’ right to… [read post]
28 Sep 2016, 10:43 am
Avilés-García is a Capital Member and the Chair of Ferraiuoli LLC’s Taxes & Employee Benefits Practice Group. [read post]
17 Mar 2020, 7:23 am
’ The plaintiff asserted that the requests were not relevant and disclosure was barred by the work product doctrine. [read post]
13 Feb 2018, 10:45 am
According to his FINRA BrokerCheck report, Buck worked briefly at RBC Capital Markets after Merrill fired him in 2015. [read post]
10 May 2021, 3:56 am
Later that same year, plaintiff Stephen Vogel together with Boris and Kiev formed a Delaware LLC known as Forum Capital Management, LLC (“Forum Capital”) as a sponsor to manage FMC I. [read post]
8 Nov 2021, 1:17 pm
Carmine Berardi First Standard Financial Advisory, LLC Alexander Capital, LP Jason Fekete Ameritas Investment Company, LLC Lincoln Financial Securities Corporation Geoffrey Garratt Spartan Capital Securities, LLC First Standard Financial Company Trevor Gordon Sandlapper Securities, LLC James Harold Goode, Jr. [read post]
19 Feb 2021, 1:06 pm
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
5 Jan 2024, 1:41 pm
John Goodwin LPL Financial LLC MML Investors Servies, LLC Jane Terry Raymond James Financial Services, Inc. [read post]
28 Nov 2018, 9:15 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
4 May 2023, 1:58 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Austin Kiick Equitable Advisors, LLC Isaac LaFond Patrick Capital Markets, LLC IFP Securities, LLC Steve Moise Joseph Stone Capital, LLC Spartan Capital Securities, LLC David Morris … [read post]
