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12 Sep 2019, 8:47 am
The securities attorneys at Gana Weinstein LLP are currently investigating advisor John Eads (Eads), formerly registered with Lion Street Financial, LLC (Lion Street Financial) and AXA Advisors, LLC (AXA Advisors) out of Titusville, Florida. [read post]
12 Oct 2010, 5:40 am
The House concurred the following day and the legislation is awaiting signature from President Obama. [read post]
7 Oct 2021, 2:05 pm
Adam Belardino (Adam Gerard Belardino, CRD: #5221927) is a former registered broker and investment advisor whose last known employer was MML Investors Services, LLC (CRD#:10409) of Elmsford, New York. [read post]
10 Sep 2011, 5:00 am
When Liskov lost money trading, he forged the customer’s signature in order to deposit more money. [read post]
22 Sep 2021, 11:50 am
Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees. [read post]
10 Apr 2023, 3:31 pm
His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. [read post]
4 Sep 2007, 10:18 pm
In MetCap Securities LLC v. [read post]
2 Sep 2022, 6:54 am
Additionally, in July 2018, Melilli was registered with LPL Financial LLC. [read post]
1 Jun 2017, 9:17 am
Both the criminal case and the SEC lawsuit focused on a 2012 investment Duncan made in Gameday Entertainment LLC, a startup for which Banks served as chairman. [read post]
25 Apr 2019, 12:45 pm
Lyons and his investment advisory businesses, Synchronicity Capital GP, LLC, Synchronicity Capital Group, and Synchronicity Group, LLC, used the money to pay for Lyons’ personal spending, including Broadway shows, concert tickets, sailing expenses, rent, and other costs. [read post]
29 Mar 2017, 6:59 am
Recovery of Investment Losses with Daniel H. [read post]
19 Jun 2015, 7:35 am
Thereafter, in April 2012, Weindling became registered with JHS Capital Advisors, LLC (JHS). [read post]
29 May 2019, 7:44 am
(CRD#:10740), Wells Fargo Advisors, LLC (CRD#:19616), and HSBC Securities (USA) INC. [read post]
10 Jun 2011, 9:35 am
As previously posted in this blog, Kobayashi settled a Securities and Exchange Commission lawsuit back in March 2011 for defrauding investors who invested in Life Settlement Partners LLC. [read post]
5 Apr 2013, 1:09 pm
The allegations made by FINRA included making unsuitable investment recommendations, misrepresenting investments, and forging client’s signatures. [read post]
30 Oct 2009, 8:29 am
Douglas Richard Smith formerly with Financial Advisors of America, LLC in Thousand Oaks, California, was named in a complaint filed by FINRA alleging unauthorized variable annuity transactions and placing the customer's signature and/or initials on documents without the customer's knowledge. [read post]
11 Nov 2011, 1:20 am
Hicks (“Hicks”) and Locust Offshore Management, LLC (“LOM”). [read post]
13 Aug 2015, 11:41 am
Lee, a former AXA Advisors, LLC broker who was recently terminated by the firm in April 2015. [read post]
11 Apr 2023, 11:53 am
Securities, LLC. [read post]
27 May 2017, 7:49 am
Our firm is investigating claims made by regulators and brokerage firms including LPL Financial LLC (LPL Financial) concerning broker Paul Dorion (Dorion). [read post]
