Search for: "Securities America, Inc."
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21 May 2019, 8:48 am
Tropiano has over 10 years in the securities industry; previously he was a registered broker with Key Investment Services, Natcity Investments, Inc., and McDonald Investments, Inc. [read post]
15 Jul 2021, 3:00 am
Securities America Advisors is the RIA arm of Securities America, Inc. [read post]
21 Feb 2011, 5:02 pm
Securities America, which is owned by Ameriprise Financial Inc., sold about $700 million of private placements issued by Medical Capital Holdings and $18 million of shares in Provident Royalties. [read post]
9 Mar 2021, 2:31 pm
Several customers have filed securities arbitration claims against David Lerner Associates Inc. [read post]
30 Mar 2011, 2:48 pm
Last week, a federal court rejected Securities America's attempt to force arbitration claimants to abandon their cases and require them to participate in a class action settlement that would allow defrauded investors to recover only one-eighth (1/8) of their $400 miilion in losses due to investments in Medical Capital Holdings, Inc. and Provident Royalties. [read post]
4 Dec 2016, 11:56 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Paul Neves (Neves) currently associated with Securities America, Inc. [read post]
21 Jun 2018, 3:15 am
May was most recently affiliated with the independent broker-dealer Securities America, Inc. [read post]
27 Mar 2019, 5:46 am
In addition to working as a Securities America broker, May also was president and CCO of Executive Compensation Planners Inc. [read post]
Securities America & Ameriprise Financial Inc. Sued For Selling Allegedly Faulty Private Settlements
10 Nov 2009, 1:41 pm
A securities fraud lawsuit filed in federal court is suing Securities America and parent company Ameriprise Financial Inc. for selling allegedly faulty private placement offerings even after W. [read post]
21 Mar 2011, 9:01 am
Royal Furgeson Jr. centered in on the relationship between Securities America and its parent company, Ameriprise Financial Inc. [read post]
9 Aug 2018, 12:50 pm
Securities America failed to act as Hector May sold fictitious “tax-free” corporate bonds from his New City Securities America office with his Securities America approved Registered Investment Advisory business, Executive Compensation Planners. [read post]
25 Aug 2010, 9:20 am
See Massachusetts Securities Regulators Have Sued Securities America, Inc. for Securities Fraud. [read post]
26 Jan 2010, 1:23 pm
The Massachusetts Securities Division brought an administrative action against Securities America, Inc., a subsidiary of Ameriprise Financial, alleging that from 2003-2008 the broker-dealer, acting as placement agent for Reg D offerings on behalf of Medical Capital Holdings Inc., failed to... [read post]
25 Aug 2010, 9:20 am
See Massachusetts Securities Regulators Have Sued Securities America, Inc. for Securities Fraud. [read post]
2 Apr 2014, 5:39 am
Ryan was registered with FINRA brokerage firms from 1992 until November 1, 2013, including an eight-year stint with Securities America, Inc. [read post]
30 Jul 2015, 3:01 pm
Lauer participated in a 401(k) advisory business and worked as a webmaster for a college alumni club while employed at Securities America, Inc. [read post]
Pennsylvania Regulator Investigates Securities America and Landenburg Thalmann Non-Traded REIT Sales
17 Apr 2014, 6:23 am
The Pennsylvania Department of Banking and Securities requested that Securities America Inc. [read post]
22 Mar 2010, 1:50 pm
andldquo;It also has become apparent that Securities America Inc. was not the only broker-dealers selling theseandrdquo; private placements, according to the statement. [read post]
3 Jan 2020, 1:54 pm
Bobby Coburn (CRD# 1464789) is a barred broker who formerly worked for Securities America, Inc. [read post]
20 Mar 2014, 11:07 am
According to InvestmentNews, Securities America Inc. is under investigation by the Pennsylvania Department of Banking and Securities for the sale of non-traded REITs. [read post]
