Search for: "Affiliated Financial Group, Inc."
Results 21 - 40
of 912
Sorted by Relevance
|
Sort by Date
8 Feb 2024, 10:24 am
He joins Kaufman Dolowich’s Financial Services and Institutions practice group and Health Care/Managed Care industry group. [read post]
1 May 2024, 10:16 pm
LPL Financial Holdings Inc. serves nearly 23,000 financial advisers and manages over $1.44 trillion in advisory and brokerage assets as of March 31, 2024. [read post]
7 Mar 2013, 9:01 am
Financial Services, Inc. [read post]
11 Mar 2014, 3:36 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond James Financial Services, Inc. (“RJFS”), and Tomlinson was an employee of both the credit union and registered with RJFS.Salary Versus CommissionIn 2008, Tomlinson learned from a magazine article that a registered representative with whom h... [read post]
9 Jun 2008, 4:40 pm
With more than 18,000 licensed brokers and insurance agents, World Financial Group and its World Group Securities Inc. brokerage affiliate have a bigger sales force than Merrill Lynch, whose 16,660 brokers make it the largest on Wall Street. [read post]
2 Oct 2008, 10:56 pm
AIG Advisor Group is made up of FSC Securities Corp, AIG Financial Advisors Inc., and Royal Alliance Associates Inc. [read post]
2 Feb 2022, 10:03 am
He was affiliated with the following firms during his career in the securities industry: 02/14/2018 – 06/28/2019, LPL FINANCIAL LLC (CRD#:6413), NEW BEDFORD, MA, 07/16/1998 – 02/14/2018, SII INVESTMENTS, INC. [read post]
18 Jun 2008, 10:01 pm
Kelly is ordering Next Financial Group Inc. to cease and desist from recruiting practices that violate privacy laws. [read post]
16 Aug 2023, 9:04 am
The White Law Group reviews the regulatory history of Securities America Inc. [read post]
9 Apr 2020, 6:58 am
They often have high fees and sales commissions, making them an attractive product for financial advisors to sell. [read post]
13 Jul 2023, 8:18 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
Financial Advisor Gina Chaney Discharged From Employment in Connection with Equity-Indexed Annuities
22 Feb 2018, 4:00 am
Chaney was affiliated with a number of brokerage firms, including most recently Next Financial Group, Inc. [read post]
3 Mar 2014, 3:24 pm
The Financial Industry Regulatory Authority (FINRA) is the securities industry watchdog and regulator of US broker dealers. [read post]
13 Jun 2023, 11:54 am
Recently, PGX Holdings, Inc. [read post]
4 Jan 2024, 10:56 am
” Petrone allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
17 Mar 2021, 9:51 am
The White Law Group is investigating potential securities claims involving Cambridge Investment Research Inc. [read post]
6 May 2013, 8:52 am
FINRA recently announced that it has fined Ameriprise Financial Services, Inc. and its affiliated clearing firm, American Enterprise Investment Services Inc. [read post]
15 Mar 2019, 6:26 am
From 2012 to 2016, Booy victimized at least 15 clients in a $1.4 million scam whereby he had claimed to be affiliated with Principal Financial Group, althought he had no actual relationship with the firm and was not authorized to invest client funds with it. [read post]
10 Jul 2020, 11:07 am
Oklahoma Center for Orthopaedic and Multi-Specialty Surgery (OCOM), a specialty hospital affiliated with Tenet Healthcare in Oklahoma City, Oklahoma, its part-owner and management company, USP OKC, Inc. and USP OKC Manager, Inc. [read post]
26 May 2020, 5:43 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Radoo was terminated by his prior employer, Next Financial Group, Inc. [read post]
