Search for: "Bar Works Capital, LLC"
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20 Apr 2020, 4:10 am
Section 606 bars a member from withdrawing from the LLC prior to its dissolution and winding up. [read post]
20 May 2019, 2:06 pm
It also works with third-party distributors and sells its delicious products through its website. [read post]
4 Sep 2018, 6:52 am
The US Securities and Exchange Commission has filed fraud charges against 1 Global Capital LLC, a Florida-based cash advance company, and its ex-CEO Carl Ruderman. [read post]
13 Feb 2010, 9:32 pm
Slaine could be sentenced to up to 25 years behind bars. [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp… [read post]
25 Oct 2023, 12:49 pm
PRIMEX Adam Ezrilov LPL Financial LLC RBC Capital Markets, LLC Samuel Girgiss Spartan Capital Securities, LLC Worden Capital Management LLC Dennis Hanrahan Spartan Capital Securities, LLC John Thomas Financial Timothy Henry Wells Fargo Clearing Services, LLC Credit Suisse Securities (USA) LLC Kenneth… [read post]
27 Dec 2023, 8:45 am
Kevin Springstead Craft Capital Management LLC Arive Capital Markets Terry Tzagarakis Arive Capital Markets Worden Capital Management LLC Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
14 Nov 2017, 3:37 pm
Lowi was most recently associated with RBC Capital Markets, LLC (“RBC”) (CRD# 31194) (2009-2015), and most recently, Janney Montgomery Scott LLC (“Janney Montgomery”) (CRD# 463) (2015-2016). [read post]
4 May 2011, 11:13 am
Unless you've been living in a compound, off the grid with no internet access in a medium sized city outside the capital of a troubled nation in South Asia, you undoubtedly are aware of the Supreme Court's decision in AT&T Mobility LLC v. [read post]
14 Jan 2021, 8:43 am
Former Aegis Advisor Steven Luftschein (Steven Lerner) Reportedly Barred from Securities Industry According to the Financial Industry Regulatory Authority ( FINRA) on January 13, 2020, the regulator has reportedly barred former Aegis Capital Corp. advisor Steven Robert Luftschein (also known as Steven Lerner), after allegations that he churned and excessively traded the accounts of three of his customers. [read post]
17 May 2023, 11:30 am
Mass. securities regulators reportedly barred him from working as a financial advisor in Massachusetts. [read post]
24 Dec 2019, 7:19 am
According to FINRA Disciplinary actions for December 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bartley, Jevon Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Cross, Anita Gasser, Robert Barclays Capital Inc… [read post]
22 Sep 2022, 9:23 am
Joseph Pratt Stifel Nicolaus & Co Inc Wells Fargo Advisors LLC Joseph Valdini Aegis Capital Corp. [read post]
30 Apr 2012, 3:00 am
The defendants' counsel submitted a letter citing a Delaware Chancery Court decision, R&R Capital, LLC v. [read post]
20 Oct 2020, 5:17 am
From June 2014 until November 2015, he was registered with Rockwell Global Capital LLC until he joined his last employer, Salomon Whitney Financial in December of 2015 until February 2017 when he was barred by FINRA, according to his Brokercheck page. [read post]
20 Oct 2020, 5:17 am
From June 2014 until November 2015, he was registered with Rockwell Global Capital LLC until he joined his last employer, Salomon Whitney Financial in December of 2015 until February 2017 when he was barred by FINRA, according to his Brokercheck page. [read post]
5 May 2023, 7:48 am
Richard Logalbo Cetera Investment Services LLC MML Investors Services, LLC Harold Ramsey Paulson Investment Company LLC Spartan Capital Securities, LLC Michael Rosalia SW Financial Worden Capital Management LLC Dana Vietor CFD Investments, Inc. [read post]
9 Jul 2018, 8:27 am
By virtue of the foregoing, Biderman has been barred from working in the securities industry. [read post]
27 Apr 2022, 12:56 pm
According to FINRA Disciplinary actions for March 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Joseph Likens LPL Financial LLC Cornerstone Wealth Management, LLC Guy Newman GVC Capital LLC Bathgate Capital Partners LLC John Santariello Arive… [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
