Search for: "Affiliated Financial Group, Inc."
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18 Mar 2014, 11:21 am
Recently, Berthel Fisher & Company Financial Services, Inc., an Iowa-based financial services firm, was found to be flagging in its supervisory procedures pertaining to REITs and ETFs (exchange-traded funds). [read post]
19 Dec 2010, 11:40 pm
You can find our update post at: http://www.netdocketsblog.com/2010/12/townsends-bankruptcy-updates-creditors.html#axzz19ey8CHX7On Sunday, December 19, 2010, Townsends, Inc. and four affiliates - Townsend Farms, Inc.; Townsends of Arkansas, Inc.; Townsend Farms of Arkansas, Inc.; and Crestwood Farms LLC - voluntarily filed for chapter 11 bankruptcy protection in Delaware. [read post]
18 Mar 2019, 11:04 am
According to Gallagher’s BrokerCheck record, he was previously a registered broker at seven brokerage firms, including the Williams Financial Group, National Securities Corporation, GR Stuart & Co., Financial Securities Network, First Affiliated Securities, AG Edwards & Sons, and Dean Witter Reynolds. [read post]
8 Sep 2022, 12:42 pm
Investment Advisor Christopher Turean allegedly Misappropriated Customer Funds The Certified Financial Planner Board of Standards, Inc. [read post]
23 Dec 2011, 8:57 am
GE Funding is the fifth financial institution to settle with the multistate working group in the ongoing municipal bond derivatives investigation following Bank of America, UBS AG, JP Morgan and Wachovia. [read post]
27 Dec 2023, 2:02 pm
Louis Goff allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
30 Jul 2019, 12:05 pm
According to reports, Black Creek has made a deal to sell Industrial Property Trust in the 4th quarter of 2019 to an affiliate of Prologis Inc. [read post]
10 Mar 2016, 5:25 pm
The Securities and Exchange Commission today charged an Oregon-based investment group and three top executives with hiding the rapidly deteriorating financial condition of its enterprise while raising more than $350 million from investors. [read post]
14 May 2020, 7:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rollins has been terminated by his prior employer, Capital Investment Group, Inc. [read post]
18 Oct 2013, 7:54 am
The White Law Group is investigating claims in the following: UBS Puerto Rico Fixed Income Fund I, Inc. [read post]
5 Aug 2021, 8:09 am
(CRD#:159744), CENTER MORICHES, NY 07/12/2012 – 09/23/2015, CAPE SECURITIES INC. [read post]
8 Sep 2022, 12:47 pm
CFP Reportedly Orders Revocation to Mark Trewitt, Delta Investment Management, for Rules Violations Certified Financial Planner Board of Standards, Inc. [read post]
8 Oct 2021, 10:45 am
” According to his FINRA Broker Report, Hollifield was affiliated with the following firms, among others: 10/14/2016 – 09/10/2021, LPL FINANCIAL LLC (CRD#:6413), DACULA, GA09/19/2008 – 11/11/2016, STERNE AGEE FINANCIAL SERVICES, INC. [read post]
3 Mar 2022, 9:33 am
Potential to Recover Financial Losses If you are concerned about your investments with Cambridge Investment Research Advisors, Inc., please call the securities attorneys of The White Law Group at 888-637-5510 for a free consultation. [read post]
17 Jan 2020, 8:39 am
Financial Advisor Raymond J. [read post]
20 Nov 2016, 5:58 am
Kohli was a registered representative of Trustmont Financial Group, Inc. [read post]
20 May 2015, 6:44 am
The SBA Area Office determined that Hughes Group was not an eligible small business due to affiliation with a large subcontractor, Doss Aviation, Inc., under the ostensible subcontractor affiliation rule. [read post]
27 May 2020, 6:13 am
Arora’s outside business activities disclosed on his publicly available BrokerCheck report include World Financial Group, Inc., Real estate broker, and Keller William Realty. [read post]
7 Jan 2020, 10:57 am
Financial Advisor John A. [read post]
11 Mar 2016, 8:35 am
Concerned that investors will now fully recoup their investments in Aequitas, The White Law Group continues to investigate potential claims against the financial advisors and brokerage firms that recommended Aequitas to their clients. [read post]
