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6 May 2024, 11:52 am
FINRA Bars Northwestern Mutual Broker Michael Gravelyn after Allegations According to public records, FINRA, the self-regulator, has reportedly barred financial advisor Michael Gravelyn (CRD # 6569005) from working in the securities industry. [read post]
19 Jun 2024, 12:47 pm
Former Advisor and CNBC Pundit, James McDonald Jr. [read post]
7 Apr 2021, 6:38 am
Financial advisor Paul Porter, currently employed at Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to at least four customer complaints during the course of his career. [read post]
25 Sep 2019, 8:26 am
Financial Advisor David Manor, Wells Fargo Clearing Services in Boston, MA Are you concerned about investments you made with David Manor in Boston, MA? [read post]
21 Oct 2022, 7:05 am
Nelson, J.D.A group of 10 GOP members on the House Financial Services Committee led by Ranking Member Patrick McHenry (R-NC) sent a letter to SEC Chair Gary Gensler seeking further explanation for the agency’s reopening release issued October 7, 2022, which reopened the comment period on 11 proposed rulemakings in which some public commenters’ comments were not received by the SEC due to a technical error. [read post]
1 Dec 2010, 11:37 am
Do they have a financial Advisor? [read post]
19 May 2022, 12:59 pm
” Waco financial advisor Robert Turner is reportedly facing allegations by UBS Financial, his former employer, that he stole more than $17 million from 23 customers, according to KWTX in Waco, Texas. [read post]
25 Feb 2020, 7:08 am
Stoltmann Law Offices is investigating claims made by the Securities and Exchange Commission (SEC) against Robert Gravette, Mark MacArthur, and their Registered Investment Advisory firm, Criterion Wealth Management Insurance Services, Inc. [read post]
27 Jul 2020, 12:50 pm
Hopkins was reportedly registered with American Portfolios Financial Services in Grand Blanc, Michigan from 2009 until 2018, when he was permitted to resign, after allegations, according to his FINRA BrokerCheck profile. [read post]
9 Jun 2021, 9:11 am
(“Sila”), a publicly registered, non-traded real estate investment trust (formerly known as Carter Validus Mission Critical REIT II) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
1 Oct 2010, 7:50 am
The trend toward independent trust companies is part of a larger historical shift away from full-service national institutions to online brokers and independent advisors. [read post]
3 Jun 2024, 1:19 pm
(“Sila”), a publicly registered, non-traded real estate investment trust (formerly known as Carter Validus Mission Critical REIT II) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
3 Sep 2021, 10:36 am
Reasonableness – Stockbrokers and investment advisors are entitled to earn a reasonable fee for their services. [read post]
11 Jul 2023, 11:19 am
FINRA Bars Advisor David Geake after 25 Complaints The Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator, has reportedly barred financial advisor David Geake after alleged broker misconduct. [read post]
5 Jun 2023, 7:55 pm
Form CRS delineates its services, conflicts, fees, disciplinary history, and other information to customers. [read post]
2 Jan 2014, 5:26 am
Briefs and other papers for these cases may be found at TTABVUE via the links provided.January 7, 2014 - 2 PM: In re Peak Financial Partners, Inc., Serial No. 85414941 [Section 2(d) refusal to register the mark PEAK & Design, shown below, for certain financial and real estate services, in view of the registered marks PEAK FINANCIAL MANAGEMENT, INC. for certain financial services; PEAK PROPERTY MANAGEMENT for certain real estate… [read post]
14 Mar 2022, 7:25 am
Chicago-based Stoltmann Law Offices represents investors who’ve suffered losses from being scammed by their financial advisors and the firms for whom they work. [read post]
2 Aug 2007, 4:00 pm
Settlement consultants, settlement brokers, structured settlement consultants, structured settlement brokers, settlement planners, structured settlement planners, settlement adviser, settlement advisor, structured settlement adviser, structured settlement advisor, structured settlement agent, structured settlement expert. [read post]
3 May 2017, 9:53 am
Prior to that, he was registered with UBS Financial Services in Edison, NJ from September 2006 through November 2011. [read post]
28 Dec 2020, 8:16 am
It has been alleged that a financial advisor in St. [read post]
