Search for: "Custom Estates, LLC"
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3 Dec 2013, 6:50 am
The suit contained customer allegations that Brown had recommended and engaged in a private real estate investment without first notifying his member firm. [read post]
13 Dec 2015, 7:19 am
In another complaint filed in July 2013, a customer complained that Slater misinformed her regarding the risks of three non-traded real estate investment trusts (Non-Traded REITs). [read post]
3 Jun 2019, 9:22 am
Advisor Alex Blanco (Blanco), currently employed by MML Investors Services, LLC (MML Investors) has been subject to at least three customer complaints during the course of his career. [read post]
31 Oct 2016, 7:47 am
However, according to brokercheck records, Fox has disclosed OBAs listed as including Fox Wealth Management Group, LLC. [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]
4 Sep 2016, 7:51 am
According to BrokerCheck records Ty is subject to three pending customer complaints, while registered with Park Avenue Securities LLC (Park Avenue) in Houston, Texas. [read post]
22 Jan 2024, 8:14 am
Broker Eric Felsenfeld (Felsenfeld), currently employed at Ameriprise Financial Services, LLC (Ameriprise) and formerly registered with Kingswood Capital Partners, LLC (Kingswood) has been subject to at least three customer complaint during the course of his career. [read post]
21 Feb 2017, 11:17 am
S-corporations cannot be owned by another corporate entity, meaning another corporation, an LLC and except in limited circumstances, a trust or an estate; LLCs can. [read post]
21 Feb 2017, 11:17 am
S-corporations cannot be owned by another corporate entity, meaning another corporation, an LLC and except in limited circumstances, a trust or an estate; LLCs can. [read post]
21 Feb 2017, 11:17 am
S-corporations cannot be owned by another corporate entity, meaning another corporation, an LLC and except in limited circumstances, a trust or an estate; LLCs can. [read post]
17 Apr 2015, 5:42 am
In re: CTLI, LLC, supra. [read post]
26 Nov 2020, 12:09 pm
Independent Financial Group Customer Complaints & Regulatory Actions The White Law Group is investigating potential securities claims involving Independent Financial Group (CRD#: 7717, San Diego, CA) Independent Financial Group, LLC, headquartered in San Diego, California, is dually registered as an investment adviser and broker-dealer. [read post]
27 Dec 2023, 6:09 pm
Independent Financial Group LLC Overview The White Law Group reviews the regulatory history of Independent Financial Group LLC. [read post]
24 Mar 2017, 8:57 am
LLC Uses: You Name It In addition to investment real estate ownership, LLCs have become extremely popular for running active businesses. [read post]
13 Jan 2008, 9:38 pm
MAA Real Estate LLC v. [read post]
25 Apr 2018, 12:37 pm
The elderly customers or their estates suffered losses of approximately $75,000 because they were unable to fully redeem the brokered CDs and had to sell the brokered CDs on the secondary market. [read post]
29 Dec 2018, 7:39 am
Advisor Donna Hines (Hines), currently employed by Cetera Advisors LLC (Cetera) has been subject to at least four customer complaints. [read post]
28 Jun 2019, 7:49 am
Advisor Shimshon Plotkin (Plotkin), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least seven customer complaints during the course of his career. [read post]
14 Jan 2019, 7:33 am
Advisor Wenjinn Chang (Chang), currently employed by Independent Financial Group, LLC (Independent Financial) has been subject to at least two customer complaints. [read post]
