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21 Oct 2020, 1:10 pm
Continue Reading › The post Pinnacle Investments Broker Paul DiPietro Faces New Securities Fraud Claims appeared first on Investor Lawyers Blog. [read post]
30 Apr 2012, 11:56 am
A FINRA hearing officer expelled Pinnacle Partners Financial, Corp., a broker-dealer based in San Antonio, TX, and barred its President, Brian Alfaro, for fraudulent sales of oil and gas private placements and unregistered securities. [read post]
28 Apr 2012, 3:53 am
On April 25, FINRA announced that it had expelled Pinnacle Partners Financial, Corp., a broker-dealer based in San Antonio, Texas, for ” for fraudulent sales of oil and gas private placements and unregistered securities. [read post]
13 Aug 2010, 6:00 am
ATTORNEY GENERAL CUOMO REACHES AGREEMENT WITH SECURITY COMPANY THAT TRICKED HOMEOWNERS INTO SIGNING CONTRACTS Pinnacle Security Group Must Pay Restitution and Penalties and Reform Company Practices Yesterday, Attorney General Andrew Cuomo announced a settlement with Pinnacle Security Group, LLC ("Pinnacle"), a Utah-based home security company that used deceptive door-to-door sales tactics to trick New York homeowners into… [read post]
10 May 2012, 8:30 am
On April 25, Financial Industry Regulatory Authority (“FINRA”) expelled broker-dealer Pinnacle Partners Financial Corp. and its president, Brian Alfaro, from membership after they failed to respond to allegations that they made fraudulent sales involving oil and gas private placements and unregistered securities in violation of Section 10(b) of the Securities Exchange Act of 1934. [read post]
9 Aug 2012, 3:44 pm
In this contract dispute matter between security services provider ADT and defendant Pinnacle Security, also a security services provider, ADT objected to a [...] [read post]
18 Apr 2019, 11:49 am
Scott Silver is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
10 May 2017, 11:38 am
The post PASSCO Pinnacle S LLC Tenants in Common Investigation appeared first on White Securities Law. [read post]
25 Apr 2011, 7:50 am
FINRA Chief of Enforcement, said, andquot;Brian Alfaro and Pinnacle pose a serious risk to the investing public. [read post]
18 Nov 2011, 8:04 am
Pinnacle Performance Ltd et al., U.S. [read post]
1 Sep 2010, 1:25 pm
The SEC charged Pinnacle Capital Markets LLC with failing to comply with an anti-money laundering (AML) rule that requires broker-dealers to identify and verify the identities of its customers and document its procedures for doing so. [read post]
19 Apr 2011, 12:27 pm
FINRA suspended indefinitely Pinnacle Partners Financial Corporation, of San Antonio, TX, and its President, Brian K. [read post]
26 Apr 2012, 8:18 am
In April, Finra indefinitely suspended Pinnacle and Mr. [read post]
26 Apr 2012, 8:18 am
In April, Finra indefinitely suspended Pinnacle and Mr. [read post]
9 Oct 2018, 8:32 am
In particular, publicly available information suggests that Overland Park-based investment group Pinnacle Plus Wealth Management (a/k/a Pinnacle Financial) (“Pinnacle”), through its principal and Pinnacle employees / agents, may have recommended investments in 1GC Notes to retail investors. [read post]
7 Jan 2016, 1:56 pm
FINRA alleged that, among other things, Pinnacle was selling private placements in unregistered security interests in oil and gas ventures. [read post]
25 Apr 2012, 1:15 pm
In a default decision, San Antonio broker-dealer Pinnacle Partners Financial, Corp. has been expelled by a FINRA hearing officer for Texas securities fraud. [read post]
6 Sep 2018, 6:06 am
Investors who invested through Walker and Pinnacle Plus have stated that they were told 1st Global Capital was essentially a sure thing and a secure investment. [read post]
15 Jul 2015, 8:46 am
Should we be unable to assist you or fail to secure the compensation that you are entitled to, you can be assured that our resources, time and legal advice will be free of charge. [read post]
15 Jul 2015, 8:46 am
Should we be unable to assist you or fail to secure the compensation that you are entitled to, you can be assured that our resources, time and legal advice will be free of charge. [read post]
