Search for: "Centaurus"
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22 Mar 2010, 3:51 pm
Today, the Massachusetts Securities Division announced that it issued 6 subpoenas to National Securities; QA3 Financial; CapWest Securities; Independent Financial Group; Investors Capital; and Centaurus Financial seeking information related to the sale of Medical Capital Holdings Inc. and Provident Royalties. [read post]
20 Jul 2015, 6:32 am
(Centaurus) since 1997. [read post]
20 Oct 2015, 6:39 am
(Centaurus) out of the firm’s Los Angeles, California office location. [read post]
22 Apr 2011, 9:29 am
Sure, this last is freely transmitted by and to people who have no idea where Kenya is, saying nothing of the Centaurus constellation. [read post]
24 Jul 2015, 7:59 pm
According to BrokerCheck, during the relevant time, McDougal was an employee of the brokerage firm Centaurus Financial, working there from 11/2006 – 08/2009. [read post]
21 Oct 2022, 7:15 am
To learn more about the firm’s recent claims involving high risk alternative investments, please see: The White Law Group files another Lawsuit against Centaurus Financial 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 and Seattle, Washington. [read post]
6 Mar 2018, 8:07 am
Centaurus Financial, Inc. [read post]
2 Aug 2010, 4:33 pm
Seyed Ahmad Hashemian formerly with Centaurus Financial and formerly with First Allied Securities/FFP Securities was censured and fined $10,000. [read post]
7 Jun 2013, 3:02 pm
Savion FINRA Broker Report, he was registered with FINRA during the relevant time period, working with Centaurus Financial from 07/2007-06/2012. [read post]
15 Nov 2014, 8:23 am
Centaurus Financial Inc. and Madison Avenue Securities Inc. were among the independent brokerage firms that sold Gemini private placements. [read post]
13 May 2020, 8:24 am
Publicly-available Form D and Form D amendments 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]
23 Dec 2022, 8:27 pm
Emerson Equity Centaurus Financial, Inc. [read post]
13 Dec 2019, 6:39 am
The SEC Form D indicates that sales compensation was paid to the following recipients: Arkadios Capital, Capital Investment Group, Centaurus Financial, Center Street Securities, Concorde Investment Services, DFPG Investments, G. [read post]
11 Jul 2011, 6:12 pm
., Independent Financial Group LLC, & Centaurus Financial Inc. among broker-dealers sought by Massachusetts securities regulators over private placements, Stockbroker Fraud Blog, April 19, 2010 SEC to Propose Rule Banning “Felons and Bad Actors” From Involvement in Private Offerings, Institutional Investor Securities Blog, May 29, 2011 [read post]
29 Oct 2018, 7:27 am
The following allegedly took in sales compensation for selling Parking REIT securities, the SEC states: • 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]
Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placements
26 Aug 2014, 5:26 am
Thereafter, Lard was registered with Centaurus Financial, Inc. [read post]
12 Nov 2023, 9:23 pm
The Ten Fastest Growing Independent Broker-Dealers in 2022 According to Investment News, the following brokerage firms are the top ten fastest growing independent broker-dealers, as of December 2022: 1 Alden Investment Group 2022 revenue: $18.35 million 2021 revenue: $5.88 million Change: 212.1% 2 Prospera Financial Services, Inc. 2022 revenue: $109.94 million 2021 revenue: $82.01 million Change: 34.1% 3 Arkadios Capital 2022 revenue: $79.13 million … [read post]
7 Sep 2022, 8:23 am
To learn more about the firm’s recent claims involving high risk alternative investments, please see: The White Law Group files another Lawsuit against Centaurus Financial 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 and Seattle, Washington. [read post]
14 Feb 2011, 11:09 am
Jan. 25, 2011) and Centaurus Unity v. [read post]
12 May 2009, 2:00 am
She noted that other privacy cases include not guarding the confidential information in a firm's possession (such as the Merrill Lynch squwak box case and the LPL case involving computer system hacks and the recent Centaurus Financial case). [read post]
