Search for: "Affiliated Financial Group, Inc."
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20 Apr 2012, 11:38 am
AFA Investment Inc., and its affiliates, including AFA Foods, American Foodservice Corporation, United Food Group, LLC, and American Fresh Foods (together “AFA”) have requested that the Bankruptcy Court overseeing their Chapter 11 cases approve procedures for a sale of all of their assets. [read post]
20 Dec 2022, 9:11 am
11/02/2017 – 12/07/2022, LPL FINANCIAL LLC (CRD#:6413), MANHATTAN BEACH, CA, B, 06/22/2015 – 11/09/2017, AMERIPRISE FINANCIAL SERVICES, INC. [read post]
4 Aug 2020, 6:53 am
Did You Lose Money Investing With Par Funding/Complete Business Solutions Group, Inc.? [read post]
8 Oct 2021, 6:00 am
Crises as Opportunities for Growth: The Strategic Value of Business Group Affiliation Posted by Jason Zein (University of New South Wales), on Friday, October 1, 2021 Tags: Business groups, Capital markets, Emerging markets, Family firms, Financial crisis, International governance, Peer groups, Shocks Key Takeaways From Recent SEC Cybersecurity Charges Posted by Michael Osnato, Allison Bernbach, and William… [read post]
30 Aug 2009, 10:55 am
It gives particular emphasis to the fact that retail shareholders and taxpayers, as more dispersed interest groups, will have substantially less influence than other rent seeking groups. [read post]
1 Sep 2021, 11:47 am
(CRD#:30933), MELBOURNE, FL 08/13/2002 – 01/02/2004, FINANCIAL INDEPENDENCE SYSTEMS, INC. [read post]
31 Mar 2017, 10:44 am
UBS and its affiliated firm, UBS Financial Services Inc. of Puerto Rico, have already paid millions of dollars due to client losses in Puerto Rico proprietary closed-end bond funds filled with Puerto Rico municipal securities issued by various authorities and agencies. [read post]
5 Jul 2010, 1:55 pm
Empire Financial Group Inc. - FINRA expelled Empire in March 2009 for failing to pay unknown fines and/or costs. [read post]
23 Jul 2018, 11:42 am
(CRD#15916) and Woodmen Financial Services, Inc. [read post]
28 Mar 2024, 10:36 am
FINRA BrokerCheck Report – Juan Carlos Sosa According to this FINRA BrokerCheck report, Juan Carlos Sosa was affiliated with the following firms during his career in the securities industry: 08/03/2022 – 03/21/2024, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), STUDIO CITY, CA, B, 10/31/2005 – 07/18/2022, SAGEPOINT FINANCIAL, INC. [read post]
30 Dec 2016, 11:09 am
According to reports, UBS Financial Services Inc. discharged top broker Phil Fiore Jr., for not keeping his employer informed of outside business activities, even while he was under heightened supervision. [read post]
19 Jan 2024, 7:37 am
Though Starnes was purportedly doing business under the name Starnes Financial Services, he was reportedly affiliated with the following firms during his career, among others: 12/06/2019 – 05/16/2023, SA STONE WEALTH MANAGEMENT INC. [read post]
20 Apr 2010, 8:44 am
A March 8, 2010 article in Investment News states that the Certified Financial Planners Board of Standards Inc. [read post]
22 Feb 2010, 1:08 am
The company and its affiliate, We The People LLC, are subsidiaries of Dollar Financial Group, Inc. [read post]
11 May 2020, 9:21 am
The company reportedly merged with an affiliated non-traded REIT, Rich Uncles Real Estate Investment Trust I, last year. [read post]
28 May 2020, 6:38 am
The company reportedly merged with an affiliated non-traded REIT, Rich Uncles Real Estate Investment Trust I, last year. [read post]
12 May 2020, 9:21 am
The company reportedly merged with an affiliated non-traded REIT, Rich Uncles Real Estate Investment Trust I, last year. [read post]
6 Jun 2023, 7:49 am
Cohen was reportedly affiliated with the following firms during his career: 07/31/2015 – 11/30/2021, MOLONEY SECURITIES CO., INC. [read post]
1 Jun 2020, 6:43 am
Stephen Fry (Stephen Douglas Fry CRD: 2928258) is a former registered broker and investment advisor whose last known employer was Woodbury Financial Services, Inc. [read post]
17 Jan 2012, 8:42 am
’s planned acquisition of T-Mobile USA Inc. on behalf of the Coalition for Mobile Wireless Competition, a group affiliated with Dish Network Corp. [read post]
