Search for: "Capital One Financial Advisors, LLC"
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12 Aug 2021, 9:07 am
Upon information and belief, broker Frank Palumbo was one of the financial advisors at American Capital Partners, LLC’s that recommend GPB Automotive Portfolio, LP to retail customers. [read post]
22 Jun 2021, 7:37 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Kevin McCallum from the securities industry for one year. [read post]
13 Aug 2021, 2:40 pm
Iorio Altamirano LLP represents investors nationwide that have disputes with their financial advisors or brokerage firms, such as Worden Capital Management LLC. [read post]
15 Feb 2021, 7:31 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Brian Wudemann (Wudemann), currently employed by RBC Capital Markets, LLC (RBC Capital) has been subject to at least seven customer complaints during the course of his career. [read post]
15 May 2020, 7:49 am
According to a BrokerCheck report one of the customer complaints appears to concern fraudulent GPB Capital Holdings (GPB Capital) related investments. [read post]
15 Feb 2021, 7:31 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Thomas Duggan (Duggan), currently employed by Aegis Capital Corp. [read post]
23 Dec 2015, 6:11 am
See RBC Capital Mkts., LLC v. [read post]
20 Feb 2019, 6:04 am
According to BrokerCheck records financial advisor Philip Rosensweig (Rosensweig), currently employed by WestPark Capital, Inc. [read post]
27 Feb 2020, 8:00 am
Advisor John Hoidas (Hoidas), formerly employed by Uhlmann Price Securities, LLC (Uhlmann Price) has been subject to at least four customer complaints and one judgment or lien during the course of his career. [read post]
18 Jun 2021, 11:54 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Michael Giovannelli, who also goes by the name Michael Anthony. [read post]
30 Dec 2019, 5:47 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Clint Keener (Keener), formerly employed by Capital City Securities, LLC (Capital City) has been subject to at least five customer complaints, three regulatory actions, and one employment termination for cause during the course of his career. [read post]
16 Jun 2021, 12:55 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Marc Reda. [read post]
15 Aug 2022, 7:53 am
Investor rights attorney Alan Rosca of the Rosca Scarlato LLC law firm and his colleagues are investigating conduct related to Angel Oak Capital Advisors’ alleged dissemination of misleading data to AOMT 2018-PB1 investors. [read post]
15 Aug 2022, 7:53 am
Investor rights attorney Alan Rosca of the Rosca Scarlato LLC law firm and his colleagues are investigating conduct related to Angel Oak Capital Advisors’ alleged dissemination of misleading data to AOMT 2018-PB1 investors. [read post]
15 Aug 2022, 7:53 am
Investor rights attorney Alan Rosca of the Rosca Scarlato LLC law firm and his colleagues are investigating conduct related to Angel Oak Capital Advisors’ alleged dissemination of misleading data to AOMT 2018-PB1 investors. [read post]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
26 Aug 2021, 8:03 am
Iorio Altamirano LLP represents investors nationwide that have disputes with their financial advisors or brokerage firms, such as Worden Capital Management LLC. [read post]
16 Dec 2019, 1:57 am
In the one are highly capitalized enterprises, usually manager-managed with any number of sophisticated non-managing members/investors, all of whom are represented by or have access to competent legal and financial advisors. [read post]
15 Jul 2021, 7:47 am
FINRA Reportedly Suspends Douglas Szempruch after Allegations of Unsuitable & Unauthorized Trades According to public records from the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended financial advisor Douglas Szempruch (CRD # 4159318) of Melville, NY from the securities industry for one year. [read post]
