site stats

Eric hollifield sec

WebHollifield was registered with LPL Financial between October 14, 2016, and August 12, 2024. He was discharged based on accusations of his outside business activities. He … WebJun 30, 2024 · Hollifield 2:2024cv00129 US District Court for the Northern District of Georgia Justia Securities and Exchange Commission v. Hollifield RSS Track this Docket Docket Report This docket was last retrieved on July 22, 2024. A more recent docket listing may be available from PACER . Access additional case information on PACER

Securities and Exchange Commission v. Hollifield

WebJul 6, 2024 · Eric Hollifield, who had logged 23 years in the industry before being barred last year, defrauded two advisory customers and a brokerage client by diverting funds to an … http://securities.mikameyers.com/eric-hollifield/ sz online rdv login https://hypnauticyacht.com

Eric Hollifield Failed to Cooperate in FINRA Investigation into …

WebIn other instances, Hollifield misappropriated client and customer funds through a variety of schemes and used the money to purchase Hollifield's home. As a result of the conduct described in this Complaint, Hollifield violated Sections 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 ... WebJul 6, 2024 · INVESTORS: Former LPL Financial broker Eric Shea Hollifield was charged by the SEC with misappropriating at least $1.7M from two advisory clients and one brokerage customer. Eric Shea Hollifield (CRD: 3091319) was registered as a broker with LPL Financial, Inc. from 2016 until 2024. WebAug 1, 2024 · The US Securities and Exchange Commission (SEC) has filed civil charges against Eric Shea Hollifield, a former LPL Financial broker and registered investment … bravography

Ex-LPL Broker Used Client Funds to Buy $1.7-Mln Home: SEC

Category:Eric Shea Hollifield, Formerly of LPL Financial, Files Lawsuit …

Tags:Eric hollifield sec

Eric hollifield sec

SEC Charges Former LPL Dacula Stockbroker With Bleeding …

WebDec 28, 2024 · Eric Hollifield has passed the following exams: Series 66 – Uniform Combined State Law Examination SIE – Securities Industry Essentials Examination Series 7 – General Securities Representative Examination He has also worked with the following firms: Sterne Agee Financial Services (CRD#:18456) H&R Block Financial Advisors … WebSecurities Arbitration & Investment Fraud Lawyers - National practice. Contingent fee. Free confidential consulation. (877) SEC-ATTY. ... Tag: Eric Shea Hollifield. SEC Charges Former LPL Dacula Stockbroker With Bleeding Customers For $2 Million ...

Eric hollifield sec

Did you know?

WebJul 14, 2024 · The U.S. Securities and Exchange Commission sued Eric S. Hollifield Thursday in Georgia Northern District Court over alleged violations of federal securities … WebJul 27, 2024 · In a press release dated July 1, 2024, the Securities and Exchange Commission (SEC) charged ERIC S HOLLIFIELD of Winder, Georgia, with …

http://securities.mikameyers.com/eric-hollifield/ WebJul 5, 2024 · According to the SEC’s complaint, Hollifield was a co-owner of Hamilton Investment Counsel (HIC), a registered investment advisor based in Dacula, Ga., …

WebPrior to September 2024, Hollifield was an investment adviser representative of Hamilton Investment Counsel, LLC ("HIC"), an SEC-registered investment adviser based in … WebJul 1, 2024 · The Securities and Exchange Commission yesterday charged Eric Hollifield of Winder, Georgia, with misappropriating at least $1.7 million from two …

WebPrior to September 2024, Hollifield was an investment adviser representative of Hamilton Investment Counsel, LLC ("HIC"), an SEC-registered investment adviser based in …

WebJul 6, 2024 · Eric Hollifield allegedly funneled money through an outside business and used it to buy a 37-acre home in Georgia. July 6, 2024. The Securities and Exchange … sz osterrätsel 2022 redditWebIAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators An official website of the United States Government ... alleges that this matter involves violations of the anti-fraud provisions of the securities laws by Eric S. Hollifield ("Hollifield"). Prior to September 2024, Hollifield was an ... bravo grc cnpjWebOct 18, 2024 · The Financial Industry Regulatory Authority has barred former Georgia-based LPL broker Eric Hollifield, after the registered representative failed to cooperate or provide information to the... bravo grand rapids miWebJul 29, 2024 · The hearing, titled “Oversight of the SEC’s Division of Enforcement” and held by a subcommittee of the House Committee on Financial Services, largely focused on testimony from Mr. Grewal, Director of the SEC’s Division of Enforcement. ... SEC Charges Former LPL Advisor Eric Hollifield With Misappropriating $1.7 Million. Next. Next. bravo grand rapidsWebMar 16, 2024 · Eric Shea Hollifield, of Dacula, Georgia, a stockbroker registered with LPL Financial LLC is the subject of an enforcement action initiated by SEC in which the regulator is seeking sanctions against Hollifield based upon allegations that Hollifield committed securities fraud. Securities and Exchange Commission v. bravo grantsz osterrätsel 2022 pdfWebOct 13, 2024 · On October 7, 2024, ERIC SHEA HOLLIFIELD (ERIC S HOLLIFIELD) was barred by the Financial Industry Regulatory Authority (FINRA). Hollifield was previously registered both as a broker and as an investment advisor. He was formerly registered as a broker with LPL FINANCIAL LLC OF Dacula, Georgia from 10/14/2016 - 09/10/2024. … bravo graphics