Search for: "Dealer Capital Group, LLC"
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11 Feb 2020, 12:57 pm
The White Law Group is continuing its investigation into the liability broker dealers may have for improperly recommending GPB Automotive Portfolio LP to investors. [read post]
2 Jul 2020, 7:35 am
The company filed a form D to raise capital from investors in 2013. [read post]
2 Jul 2020, 6:24 am
The company filed a form D to raise capital from investors in 2013. [read post]
19 Sep 2023, 7:00 am
The firms were Artemis Wealth Advisors, LLC; Trowbridge Capital Partners, LLC; MRA Advisory Group; McElhenny Sheffield Capital Management, LLC; Macroclimate, LLC; Linden Thomas Advisory Services, LLC; Hansen & Associates Financial Group, Inc.; Elm Partners Management, LLC; BTS Asset Management Inc. and Banorte Asset Management, Inc. [read post]
9 Feb 2012, 9:00 am
The Complaint alleged that Peregrine failed to supervise four of Peregrine’s Guaranteed Introducing Brokers (GIBs): Clash Financial, LLC, Oxford Trading Group, Inc., California Capital Trading Group, LLC, and Patriot Financial Markets, LLC. [read post]
27 Mar 2015, 12:02 pm
., an independent broker-dealer, is expanding a current offering by a sister company, Continuity Partners Group to provide capital for succession planning and acquisitions to its affiliated advisers.Cambridge Investment Research has seen steady growth over the past dozen years and, with $650 million in total revenues in 2014, is one of the 10 largest independent broker-dealers in the industry.Continuity Partners Group was launched in 2010 and has 168… [read post]
3 Mar 2017, 5:57 am
Dozens of independent broker-dealers sold the Medical Capital Holdings (MedCap) notes. [read post]
16 Jan 2017, 8:24 am
The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendations. [read post]
16 Jul 2012, 6:37 am
In order to raise capital for its offerings, in late 2006/early 2007, ETR Pasco Fund II applied for a Form D Notice of Sale of Securities which was then offered and sold by certain FINRA registered broker-dealers. [read post]
20 Jan 2020, 12:24 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 Franklin, Tennessee. [read post]
20 Oct 2016, 5:56 am
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 Vero Beach, Florida. [read post]
28 Feb 2012, 7:12 am
Dozens of broker-dealers with independent-contractor representatives sold the Medical Capital notes and The White Law Group continues to review the liability that financial professionals and broker-dealers have for such sales. [read post]
28 Feb 2012, 7:12 am
Dozens of broker-dealers with independent-contractor representatives sold the Medical Capital notes and The White Law Group continues to review the liability that financial professionals and broker-dealers have for such sales. [read post]
31 Mar 2017, 6:34 am
Additionally, approximately 2.5% dealer manager fee and up to 1.0% distribution fee was also deducted from the primary offering price, and up to 1.5% of the proceeds from the sale of shares may have been allocated to the Advisor (Dividend Capital Total Advisors Group LLC) for incurring or paying offering expenses. [read post]
29 Mar 2021, 2:17 pm
The White Law Group continues to investigate potential claims involving broker dealers who may have unsuitably recommended New York City REIT (formerly known as American Realty Capital New York City REIT) to investors. [read post]
3 Feb 2021, 8:30 am
FS KKR Capital Corp. and FS KKR Capital Corp. [read post]
5 Apr 2007, 7:56 pm
Berkowitz, a former registered representative of Financial West, sold mortgage/trust deed securities issued by USA Capital Mortgage Company; USA Capital Realty Advisors, LLC; USA Capital Diversified Trust Deed Fund, LLC; USA Capital First Trust Deed Fund, LLC; and USA Securities, LLC. [read post]
10 Jun 2015, 11:51 am
According to the Arkansas Securities Commissioner, Niaz Elmazi (a New York resident who was registered with the Arkansas Securities Department as a broker-dealer agent with HFP Capital Markets LLC, CRD No. 44351, from June 9, 2009 to May 16, 2013) was recently sued by the Arkansas Securities Commissioner. [read post]
14 Aug 2012, 5:46 am
., a small broker-dealer that was a big seller of fraudulent Provident Royalties LLC private placements, has shut down. [read post]
14 Aug 2012, 5:46 am
., a small broker-dealer that was a big seller of fraudulent Provident Royalties LLC private placements, has shut down. [read post]
