Search for: "Independent Financial Group LLC"
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27 Oct 2011, 12:30 pm
• Empire Financial Group Inc. [read post]
23 Mar 2021, 7:23 am
The post Dalmore Group LLC Sanctioned for Rules Violations appeared first on The White Law Group. [read post]
25 May 2017, 11:56 am
Recovery of investment losses in Adageo Energy Group – Drilling Program 2007 LLC Investment Losses Did you lose money investing in Adageo Energy Group – Drilling Program 2007 LLC at the recommendation of your broker? [read post]
5 Feb 2024, 6:10 am
The attorneys at Gana Weinstein LLP are currently representing victims of financial advisor Stewart Ginn (Ginn), currently employed by Independent Financial Group, LLC (IFG). [read post]
16 Apr 2021, 5:18 am
The White Law Group is investigating potential securities claims involving broker dealers and financial advisors who may have unsuitably recommended Senior Care Centers LLC to investors. [read post]
22 Mar 2010, 1:50 pm
Massachusetts Securities Regulators Issue Subpoenasandnbsp; to QA3 Financial Corp., National Securities Corp., CapWest Securities Inc., Independent Financial Group LLC, Investors Capital Corp. and Centaurus Financial Inc. [read post]
23 Feb 2023, 10:04 am
Case Summary: In October 2018, Kent Jackson Rhoades left his job at Wells Fargo Advisors, LLC in Mountain Home, Arkansas to start an independent financial consulting firm with Raymond James Financial Services, 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]
20 Dec 2018, 10:19 am
Jon Richard Pariser (CRD #2755015) is a former registered broker whose last employer was Independent Financial Group, LLC (CRD #7717) of Pacific Grove, CA. [read post]
22 Mar 2010, 4:19 pm
Among the firms on Galvin’s hit list: QA3 Financial Corp., National Securities Corp., CapWest Securities, Independent Financial Group LLC, Investors Capital Corp. and Centaurus Financial. [read post]
25 Jan 2017, 6:08 am
From January 2005 through April 2010, Egan was registered with AFA Financial Group, LLC. [read post]
15 Jan 2021, 2:29 pm
Members may be organized in groups for decision-making purposes. [read post]
4 Feb 2020, 12:21 pm
Members may be organized in groups for decision-making purposes. [read post]
6 Oct 2009, 5:10 am
Next Financial Group is finding the year of 2009 to be an ongoing hotbed of controversy, with the independent broker/dealer mired in investor complaints and regulatory problems. [read post]
14 Sep 2018, 1:50 pm
Members may be organized in groups for decision-making purposes. [read post]
16 Feb 2022, 8:29 am
The LLC’s Operating Agreement may organize its Members in different groups for decision-making purposes. [read post]
20 Jul 2023, 10:45 am
SagePoint Financial will reportedly rebrand under the name “Osaic” with seven other independent broker-dealers in the fall. [read post]
28 Dec 2016, 8:39 am
Moreover, Cohen did not control Summetria or have a decision-making role within the company under the LLC Act, even though he was involved in important financial negotiations for Summetria. [read post]
3 Dec 2018, 1:44 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jon Pariser (Pariser), formerly associated with Independent Financial Group, LLC (Independent Financial) in Pacific Grove, California was sanctioned by FINRA resulting in a bar from the industry. [read post]
26 Jan 2024, 1:40 pm
The White Law Group reviews the regulatory history of Voya Financial Advisors. [read post]
