Search for: "Above The Bar Investments, LLC"
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9 Jul 2018, 2:06 pm
The post Investment Broker Barred for Selling Securities While on FINRA Suspension appeared first on Zamansky LLC. [read post]
10 Aug 2022, 6:14 am
” On January 7, 2021, the Financial Industry Regulatory Authority (FINRA) barred Shafer after FINRA staff requested that Shafer appear for on-the-record testimony in its investigation of the above allegations. [read post]
7 Jan 2020, 9:33 am
James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and/or investment advice. [read post]
6 Apr 2015, 6:23 pm
The Solicitation asked for approval to boost the limit PNotes, LLC could invest customer funds from ten-percent (10%), to fifty-percent (50%). [read post]
22 Mar 2024, 9:07 am
Ron Bucher, Pinnacle Investments: Customers Allege Unauthorized Trading According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Pinnacle Investments broker Ron Bucher (CRD#: 1804910) from associating with any FINRA member at any time. [read post]
22 Oct 2018, 11:28 am
In order for an investment in a single member LLC to qualify, the LLC must have elected to be treated as an S or C corporation for Wisconsin purposes. 2017 Form I-177. [read post]
24 Oct 2014, 3:22 pm
For these infractions, FINRA barred Pappalardo from the securities industry. [read post]
17 Jun 2019, 3:16 am
Braland had not previously formed a LLC, so he studied the Iowa LLC statutes and obtained a template of a farm LLC from the Iowa State Bar Association. [read post]
19 Apr 2021, 4:03 am
But the subject entity being an LLC, plaintiff’s counsel apparently recognized that an oppression claim would not fly and that the alleged squeeze-out tactics would not satisfy New York’s relatively high bar for judicial dissolution of LLCs laid down in the 1545 Ocean Avenue case, requiring a showing either that the management of the entity is unable or unwilling to reasonably permit or promote the stated purpose of the entity to be realized or achieved, or… [read post]
10 Jul 2015, 11:45 am
The Orders state that each of the brokers has been barred from associating with any FINRA member in the future. [read post]
7 Jan 2020, 9:19 am
James Thomas Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme James Thomas Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with… [read post]
4 Sep 2013, 6:58 am
According to the consent judgment, each are barred from misleading any future buyers about the value or investment potential of lots offered for sale in North Carolina. [read post]
12 Apr 2021, 11:33 am
Broker dealers like LPL Financial LLC owe a duty to supervise their brokers and ensure that their customers’ funds are invested appropriately and breaching these duties could make them liable for the losses incurred by the investors. [read post]
12 Apr 2021, 11:33 am
Broker dealers like LPL Financial LLC owe a duty to supervise their brokers and ensure that their customers’ funds are invested appropriately and breaching these duties could make them liable for the losses incurred by the investors. [read post]
10 Mar 2017, 4:29 pm
The sole manager was Melchiori Investment Companies, LLC (“MIC”), which owned about 9.6% of La Cumbre. [read post]
10 Mar 2017, 4:29 pm
The sole manager was Melchiori Investment Companies, LLC (“MIC”), which owned about 9.6% of La Cumbre. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
22 Oct 2018, 11:28 am
In order for an investment in a single member LLC to qualify, the LLC must have elected to be treated as an S or C corporation for Wisconsin purposes. 2017 Form I-177. [read post]
31 Oct 2011, 3:00 am
Based on the above, Sealy's cause of action for dissolution is not barred by the Statute of Limitations. [read post]
23 Oct 2020, 11:05 am
From 2004 through 2016, Alan Harold New was registered as an Investment Company and Variable Contracts Products Representative with NYLIFE Securities LLC. [read post]
