Search for: "Concorde Investment Services, LLC"
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31 Jul 2023, 9:16 am
The White Law Group reviews the regulatory history of Concorde Investment Services. [read post]
7 Dec 2020, 8:43 am
Daniel Raupp (Daniel Phillip Raupp) is a broker currently registered with Concorde Investment Services in their Port Jefferson, New York branch office. [read post]
4 Aug 2020, 6:10 am
Advisor William Morrow (Morrow), currently employed by Concorde Investment Services, LLC (Concorde Investment) and formerly employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least 14 customer complaints and one employment termination for cause during the course of his career. [read post]
17 Feb 2020, 7:29 am
The securities lawyers of Gana Weinstein LLP recently filed a complaint on behalf of multiple clients alleging that Concorde Investment Services, LLC (Concorde Investment) representative Daniel Raupp (Raupp) sold them fraudulent securities linked to GPB Capital causing at least $500,000 in losses. [read post]
5 Mar 2019, 10:03 am
Concorde Investment Services, LLC Crown Capital Securities, L.P. [read post]
23 May 2019, 7:43 am
According to FINRA Disciplinary actions for May 2019, 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 Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Cody, Jill Concorde Investment Services, LLC Westminster Financial Securities, Inc Cody,… [read post]
28 Apr 2021, 5:23 am
He was previously registered with Concorde Investment Services, LLC between 2011 and 2020. [read post]
9 Nov 2021, 6:32 am
His previous employers include Concorde Investment Services, LLC (CRD#:151604), Triad Advisors, Inc. [read post]
13 Dec 2019, 6:39 am
The SEC Form D indicates that sales compensation was paid to the following recipients: Arkadios Capital, Capital Investment Group, Centaurus Financial, Center Street Securities, Concorde Investment Services, DFPG Investments, G. [read post]
5 Oct 2017, 7:24 am
According to his FINRA BrokerCheck report, Robert “Rusty” Tweed was registered with Concorde Investment Services in San Marino, CA from August 2011 until November 2015. [read post]
8 Jun 2020, 5:46 am
(FINRA) Brokercheck Report for Concorde Investment Services, LLC broker W. [read post]
8 Jun 2020, 5:46 am
(FINRA) Brokercheck Report for Concorde Investment Services, LLC broker W. [read post]
6 Feb 2024, 6:13 am
From February 2014 to December 2017 Lorente was associated with Concorde Investment Services, LLC. [read post]
4 Jun 2018, 6:30 am
Richard Grant Cody IFS Securities Concorde Investment Services, LLC Barry Franklin Connell Morgan Stanley James Fillmore Crawford Jr. [read post]
29 Jan 2019, 2:51 pm
Concorde Investment Servs., LLC, No. 18-2875, 2019 WL 302766 (7th Cir. [read post]
25 Nov 2019, 5:51 pm
Smith is currently registered with member firm Concorde Investment Services, LLC (Concorde Investment). [read post]
29 Jul 2018, 1:46 pm
Knee disclosed a number of outside business activities including Sterling Financial Services, LLC which appears to be his d/b/a through which Knee operated. [read post]
9 Sep 2014, 7:38 am
Specifically, iKang and Concord are growing at very high growth rates (iKang’s 2011 revenue was 68.23 million USD, by last year they had achieved $202.3 million USD in revenue; Concord’s 2011 revenue was $372.05 million USD, by last year Concord had grown to $980.63 million USD). [read post]
19 Feb 2014, 10:36 am
(“LPL”), a provider of investment advisory services. [read post]
22 Feb 2016, 3:27 am
LLC v Amedore Concord, LLC, 2016 NY Slip Op 50152(U) [Sup Ct Albany County Jan. [read post]
