Search for: "Capital Alliance Financial, LLC"
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6 Nov 2023, 9:46 am
Previously, he was registered with The Strategic Financial Alliance, Inc. [read post]
4 Jan 2011, 7:32 am
$300,000 $40,750 Capital Financial Services Inc [read post]
10 May 2013, 8:59 pm
The conspirators intentionally and fraudulently concealed these cash payments from the lenders through the use of a shell company called Capital Property Investments, LLC. [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc … [read post]
23 Apr 2013, 6:28 am
Ltd., Institute For Financial Learning Group of Companies, Inc. [read post]
24 Jan 2014, 6:28 am
According to FINRA the three brokers owned and controlled two companies – Allen Partners Capital, LLC (APC) and Allen Partners, LLC (AP). [read post]
19 Aug 2019, 7:28 am
Thompson on suspicion of downloading nearly 30 GB of 100 million Capital One Financial Corp credit applications from a rented cloud data server. [read post]
12 Nov 2023, 9:23 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
4 Apr 2018, 7:38 am
Kevin Richard Graetz Paulson Investment Company LLC Roth Capital Partners, LLC Minish Joe Hede Paulson Investment Company LLC Roth Capital Partners, LLC Shane Jason Kelly LPL Financial LLC Suntrust Investment Services, Inc. [read post]
4 Apr 2011, 9:02 am
$57,000 RP Capital LLC $51,000 Brewer Financial Services LLC $48,000 NFP Securities Inc [read post]
4 Jun 2018, 6:38 am
Turner & Company, LLC Kenneth Taylor Foreman Securities America, Inc Foothill Securities, Inc Sherie Irene Gaunt Gill Capital Partners Kimberly Pine Kitts Royal Alliance Associates, Inc Sound Financial, LLC Peter Jack Margaros State Farm VP Management Corp James Albert Pettit Ameriprise Financial Services, Inc Janney Montgomery Scott LLC … [read post]
3 May 2021, 1:54 pm
Megurditch “Mike” Patatian (CRD# 4047060) is a former registered broker and investment advisor whose most recent employer was Supreme Alliance LLC (CRD#: 45348). [read post]
16 Dec 2010, 8:46 am
$57,000 RP Capital LLC $51,000 Brewer Financial Services LLC $48,000 NFP Securities Inc [read post]
15 May 2019, 3:45 pm
The SEC alleged that AGF II, which raised capital from investors to provide loans to businesses, and its owner, Ralph C. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
26 Oct 2017, 4:22 am
From February 2011 until April 2011 Iraggi was associated with Spartan Capital Securities, LLC. [read post]
25 Aug 2015, 7:32 am
In addition to Tweed’s registrations, his BrokerCheck records reveal a number of other business ventures that Tweed is involved with including Tweed Financial Services, the Exeter Group LLC, Athenian Fund, LLC, Waterloo LLC, TFS Properties, Inc., Starpoint Energy, LLC, Tweed Marketing Services, LLC, and Tax Guard 1031. [read post]
20 Jun 2023, 8:17 am
(CRD#:37), DENVER, CO, B, 03/04/2020 – 10/08/2020, SUPREME ALLIANCE LLC (CRD#:45348), CHARLOTTE, NC B, 01/02/2015 – 05/02/2018, CAPITAL ONE INVESTING, LLC (CRD#:45744), Houston, TX B, 05/13/2014 – 01/02/2015, CAPITAL ONE INVESTMENT SERVICES LLC (CRD#:25658), BEAUMONT, TX Failure to Supervise All broker-dealers have a responsibility to adequately supervise its… [read post]
7 May 2024, 7:35 am
Negligence involving GPB Capital Offerings November 2022 – According to FINRA, between May 4, 2018, and June 29, 2018, FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial negligently failed to disclose to investors crucial information regarding an offering related to GPB Capital Holdings, LLC. [read post]
23 Dec 2016, 1:00 am
Krimminger, Cleary Gottlieb Steen & Hamilton LLP, on Saturday, December 17, 2016 Tags: Banks, Broker-dealers, Capital requirements, EU, Europe, Financial institutions, Financial regulation, Foreign banks, International governance, Liquidity, Recovery & resolution plans, Systemic risk CFPB Guidance for Oversight Over Sales and Other Incentives Posted by Brad S. [read post]
