Search for: "Security Financial Fund LLC"
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28 Nov 2018, 9:15 am
During the Relevant Period, Dietrich purportedly solicited investors to purchase promissory notes relating to the Woodbridge Group of Companies LLC, a real estate investment fund. [read post]
27 Nov 2018, 5:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Schmidt (Schmidt), formerly associated with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) in Dayton, Ohio has been accused by the Securities and Exchange Commission (SEC) of misappropriating over $1.16 million from at least seven clients. [read post]
24 Nov 2018, 10:08 am
Thomas’ public disclosures state that his securities activity was conducted through a d/b/a – Dexter Thomas Financial Services, LLC. [read post]
22 Nov 2018, 7:11 am
Under the securities laws financial advisors must conduct due diligence and have a reasonable basis for their investment recommendations. [read post]
19 Nov 2018, 9:50 am
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 Vero Beach, Florida. [read post]
18 Nov 2018, 6:22 am
Powell’s public disclosures only state that he operates his business through a DBA called Faithway Financial Solutions LLC. [read post]
16 Nov 2018, 12:41 pm
FINRA Broker Disciplinary Action Report November 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
16 Nov 2018, 4:00 am
Center Street Securities broker Sean Kelly is accused of defrauding 12 investors, including older retirees and individuals with disabilities of at least $1M through his companies Lion’s Share and Associates, Inc., Lion’s Share Financial of East Cobb, and Lionsshare Tax Services, LLC. [read post]
14 Nov 2018, 10:00 am
Your accountant and/or financial advisor should be brought into the discussion. [read post]
14 Nov 2018, 9:07 am
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
13 Nov 2018, 12:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jeffrey Schwebach (Schwebach), formerly associated with Independent Financial Group, LLC (Independent Financial) in Dell Rapids, South Dakota was terminated by the firm. [read post]
11 Nov 2018, 4:00 am
Give yourself and your loved ones the security of planning for the inevitable changes life brings. [read post]
8 Nov 2018, 5:36 pm
California law also requires businesses that suffer a breach of security to disclose the breach to consumers, and in some instances law enforcement, if sensitive information is compromised. [read post]
8 Nov 2018, 5:36 pm
California law also requires businesses that suffer a breach of security to disclose the breach to consumers, and in some instances law enforcement, if sensitive information is compromised. [read post]
8 Nov 2018, 7:34 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Mitchell Kurtz (Kurtz), formerly associated with Henley & Company LLC (Henley & Company) in Roslyn Heights, New York was terminated by the firm. [read post]
8 Nov 2018, 7:31 am
From July 2003 to February 2005, he was registered with Wachovia Securities, LLC. [read post]
6 Nov 2018, 11:51 am
“Financial Intermediation” is the combination of raising funds (either in Argentina or in other jurisdictions). [read post]
6 Nov 2018, 8:06 am
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
5 Nov 2018, 2:35 pm
The complaint by the SEC states that Sean Kelly used his companies, Lion’s Share Financial of East Cobb, Inc., Lion’s Share and Associates, Inc., and Lion Share Tax Services, LLC, to raise $1 million from a variety of investors. [read post]
1 Nov 2018, 8:04 am
David Ferwerda – Signator Investors – Grand Rapids, Michigan According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor David Ferwerda (CRD No. 832431) from associating with any FINRA member at any time. [read post]
