Search for: "Coastal Trading, LLC"
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11 Nov 2020, 7:24 am
FINRA Sanctions Coastal Equities for Allegations of Failure to Supervise Unsuitable Investments According to a Letter of Acceptance Waiver & Consent (AWC), broker-dealer Coastal Equities Inc., based in Wilmington, Delaware, reportedly said it will pay back $280,000 in restitution to clients for allegedly failing to supervise a series of alleged unsuitable trades in elderly and retired clients’ accounts. [read post]
13 Sep 2018, 9:16 am
William Downing (CRD #1529382) is a former registered broker and investment advisor who was last registered with Coastal Equities, Inc. [read post]
29 May 2019, 7:44 am
(CRD#:10740), Wells Fargo Advisors, LLC (CRD#:19616), and HSBC Securities (USA) INC. [read post]
21 Jun 2016, 2:07 pm
BP Energy Company, Chubu US Gas Trading LLC, Osaka Gas Trading & Export LLC, and E.ON Global Commodities North America LLC have signed precedent agreements for all of the firm transportation capacity from the Coastal Bend Header Project. [read post]
17 Aug 2016, 1:04 pm
Transcontinental Gas Pipe Line (Transco) has filed an application with FERC to construct and operate its Gulf Connector Expansion Project, which would provide 400,000 dt/day of firm transportation service to Corpus Christi Liquefaction, LLC (CCL) and 75,000 dt/day of firm transportation service to Osaka Gas Trading & Export LLC. [read post]
8 Feb 2021, 6:13 am
From April 2014 until August 2018 Pan was registered with International Assets Advisory, LLC. [read post]
17 Oct 2017, 2:56 am
Coastal Sunbelt Produce, LLC, Opposition No. 91224476 (October 13, 2017)[not precedential] (Opinion by Judge Marc A. [read post]
31 Aug 2021, 10:00 am
Copper Cane, LLC, --- F.Supp.3d ----, 2021 WL 2953241, No. 20-cv-04068-RS (N.D. [read post]
1 Nov 2010, 11:27 am
Peak Coastal Ventures, LLC v.SunTrust Bank (Forsyth)(Tennille): claim by Plaintiff that Defendant's loan to the Plaintiff, an LLC, was not authorized by the Plaintiff as required by its operating agreement, which required majority approval by the managers of the LLC. [read post]
4 Nov 2013, 5:18 am
Hotton also allegedly was also either employed by or accepted compensation from the following business entities: Atlantic Senior Associates, LLC; Coastal Partners Associates, LLC; Coastal Partners Storage, LLC; Pioneer Venture, LLC; Trinity Management Consulting Corp.; LAN Utilities Electric, Inc.; and Canyon Brothers Construction LLC. [read post]
17 Dec 2014, 8:10 am
Coastal Equities, Inc. [read post]
14 Sep 2022, 12:32 pm
From April 2014 through August 2014, Lippmann was registered with Coastal Equities, Inc. [read post]
9 May 2012, 8:27 am
In the case of GLT Technovations, LLC v. [read post]
3 Feb 2010, 4:31 am
Coastal Communities at Ocean Ridge Plantation, Inc. [read post]
22 Dec 2017, 2:53 pm
The parties disputed whether Coastal's activities fell within § 17200. [read post]
30 Sep 2011, 12:23 pm
The case seems to indicate that the name, Coastal Construction Development, was simply a trade name. [read post]
30 Sep 2011, 12:16 pm
The case seems to indicate that the name, Coastal Construction Development, was simply a trade name. [read post]
20 Jul 2017, 6:40 am
R&R Venture Grp., LLC, 2015 U.S. [read post]
13 May 2020, 8:24 am
Publicly-available Form D and Form D amendments filed with the SEC list the following firms as receiving sales compensation for selling The Parking REIT: Accelerated Capital Group; Centaurus Financial, Inc.; Coastal Equities, Inc.; Crown Capital Securities, L.P.; Forest Securities, Inc.; Great Point Capital LLC; NI Advisors; Sandlapper Securities, LLC; Whitehall-Parker Securities, Inc. [read post]
22 Jan 2021, 1:00 pm
Publicly-available forms filed with the SEC list the following firms as receiving sales compensation for selling The Parking REIT: Accelerated Capital Group; Centaurus Financial, Inc.; Coastal Equities, Inc.; Crown Capital Securities, L.P.; Forest Securities, Inc.; Great Point Capital LLC; NI Advisors; Sandlapper Securities, LLC; Whitehall-Parker Securities, Inc. [read post]
