Search for: "Check Security Associates, LLC"
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28 Mar 2018, 12:15 pm
On March 13, 2018, according to his FINRA Broker Check Report, Pagartanis was discharged by Lombard Securities for failing to comply with its investigation of an alleged sale to a customer of an unapproved investment and possible misappropriation of client funds. [read post]
21 Jun 2022, 4:07 am
In short, there are trade-offs associated with using either a trust or an LLC. [read post]
14 Apr 2023, 8:42 am
The White Law Group reviews the regulatory history of Vanderbilt Securities LLC. [read post]
1 Jun 2011, 1:40 am
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINEPROVIDENCE, R.I. [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]
18 Mar 2020, 3:34 am
One option is to write yourself a check. [read post]
1 Dec 2020, 12:48 pm
The White Law Group is investigating potential securities claims involving Calton & Associates (CRD#: 20999, Tampa, FL) Calton & Associates, LLC, headquartered in Tampa, FL, is a national financial advisory firm. [read post]
26 Jul 2011, 4:29 pm
The National Credit Union Administration has filed a $629 million securities fraud lawsuit against RBS Securities, Wachovia Mortgage Loan Trust LLC, Nomura Home Equity Loan Inc., Greenwich Capital Acceptance Inc., Lares Asset Securitization Inc., IndyMac MBS Inc., and American Home Mortgage Assets LLC. [read post]
14 Aug 2023, 2:11 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
19 Apr 2021, 4:03 am
Over time, the Moskowitz family bought out the membership interests of all the members except Simon, thereby removing any majority check on Moskowitz’s role as manager and leaving Simon as the sole minority member with no say in management, finances, or anything else under the operating agreement. [read post]
7 Jun 2018, 12:02 pm
The post FINRA New Review Process – Broker Background Checks appeared first on White Securities Law. [read post]
3 Jun 2019, 3:27 am
In opposing Tony’s appeal, Todd and Josh relied on In re Mid-South Business Associates, LLC, 555 B.R. 565 [Bankr. [read post]
16 Nov 2018, 4:00 am
Center Street Securities broker Sean Kelly is accused of defrauding 12 investors, including older retirees and individuals with disabilities of at least $1M through his companies Lion’s Share and Associates, Inc., Lion’s Share Financial of East Cobb, and Lionsshare Tax Services, LLC. [read post]
1 Dec 2020, 11:11 am
Royal Alliance Associates, LLC, headquartered in Jersey City, New Jersey, is dually registered as an investment adviser and broker-dealer. [read post]
5 Sep 2017, 12:27 pm
Finally, from 2004 to 2017, Camarco was associated with LPL Financial LLC. [read post]
26 Jan 2018, 8:58 am
Eddie Bauer LLC and was filed in federal court in the Northern District of California. [read post]
25 May 2020, 9:49 am
From 1994 through March 2019 Chu was associated with NYLife Securities out of the firm’s Pleasant Hill, California office location. [read post]
13 Nov 2023, 4:07 am
The pace of new LLC formation gathered nationwide momentum after 1997 when the IRS adopted “check-the-box” regulations. [read post]
11 Sep 2016, 2:07 pm
Elizabeth is a Senior Associate at the Law Office of Kevin A. [read post]
9 May 2017, 9:50 pm
Elizabeth is a Senior Associate at the Law Office of Kevin A. [read post]
