Search for: "Custom Estates, LLC"
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25 Oct 2022, 10:46 am
Chicago Crypto Capital LLC et al In the Northern District of Illinois, the SEC has brought a civil action against Chicago Crypto Capital LLC (“Chicago Crypto”), its president and sole owner Brian B. [read post]
24 Oct 2022, 6:38 pm
We will listen to all of your concerns, provide you with all of your legal options, and create a customized estate plan that meets your unique needs. [read post]
19 Oct 2022, 6:49 am
The SEC’s complaint alleges that Swensen, who died on June 6, 2022, fraudulently induced victims into investing in Crew Capital Group, LLC. [read post]
6 Oct 2022, 7:38 am
Advisor Jerry Tuma (Tuma), currently employed by brokerage firm Independent Financial Group, LLC (Independent Financial) has been subject to at least five disclosures and customer complaints. [read post]
5 Oct 2022, 1:13 pm
(First Allied) and Great Point Capital, LLC (Great Point) has been subject to at least 14 disclosures including 11 customer complaints, two regulatory actions, and an employment termination for cause. [read post]
30 Sep 2022, 9:06 am
To learn more about the investigation, please see: Bradley Goodbred, Former LPL Advisor, Barred from Securities Industry Bradley Goodbred’s broker report indicates that he was registered with LPL Financial in Roselle, IL from 2009 until January 2021 when he was discharged for allegations that he “utilized undisclosed power of attorney to request and facilitate distributions of funds from customer’s outside advisory accounts, deposit… [read post]
19 Sep 2022, 11:26 pm
For companies and LLCs, an EIN is required. [read post]
19 Sep 2022, 10:10 am
According to his FINRA BrokerCheck report, Good has three customer complaint on his record. [read post]
17 Sep 2022, 8:22 am
Advisor Tony Barouti (Barouti), currently employed by brokerage firm Emerson Equity LLC (Emerson Equity) has been subject to at least 15 disclosures and customer complaints. [read post]
16 Sep 2022, 10:18 am
She reportedly has six customer complaints on her broker record, according to FINRA. [read post]
8 Sep 2022, 12:47 pm
In July 2022, Trewitt reportedly agreed that CFP Board would issue a Revocation of his right to use the CFP® certification marks for allegedly “making unsuitable recommendations to customers, some of whom were seniors, to invest in risky and illiquid investments, such as private placements and real estate investment trusts, in inappropriate concentrations. [read post]
6 Sep 2022, 12:07 pm
In April 2021 a Martinsen customer filed a FINRA arbitration case alleging unsuitable investment recommendations in connection with real estate security investments. [read post]
6 Sep 2022, 12:07 pm
In April 2021 a Martinsen customer filed a FINRA arbitration case alleging unsuitable investment recommendations in connection with real estate security investments. [read post]
6 Sep 2022, 12:07 pm
In April 2021 a Martinsen customer filed a FINRA arbitration case alleging unsuitable investment recommendations in connection with real estate security investments. [read post]
3 Sep 2022, 3:27 pm
Putting “LLC” in your logo wastes valuable real estate that could be used to promote your brand or product in a more effective way. [read post]
1 Sep 2022, 7:30 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Christopher Miller (Miller), currently employed by Emerson Equity LLC (Emerson Equity) has been subject to at least two customer complaints during the course of his career. [read post]
31 Aug 2022, 11:42 am
These types of assets are often things like equipment, real estate property, or just substantial cash accounts. [read post]
1 Aug 2022, 7:00 am
After gaining the client’s consent, he transferred the money to a real estate closing agent to buy his house. [read post]
30 Jul 2022, 2:41 pm
If that is the case, there are issues such as estate and gift tax obligations and succession planning to keep in mind. [read post]
19 Jul 2022, 9:01 pm
The Court specifically raised the question of whether the crypto assets on Voyager’s platform are property held in trust for the customers or property of the debtor’s estate. [read post]
