Avenir Financial Group, a brokerage firm headquartered in New York with approximately two dozen brokers operating from eight branch offices. The firm, along with Michael Clements and Karim Ahmed Ibrahim, were named in a FINRA Complaint where the Department of Enforcement has alleged that they have committed fraud via sale of promissory or equity notes, […]
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Tag Archives: elder abuse
Avenir Financial Group Charged for Defrauding Elderly Investors
September 11, 2015 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Promissory Notes | 0 Comments
Cadaret, Grant & Co fined for Supervisory Failures
September 01, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Variable Annuites | 0 Comments
Cadaret, Grant & Co., Inc., a FINRA member headquartered in Syracuse, NY, offers brokerage services to customers via roughly 935 registered reps throughout over 500 branch offices, and provides a majority of its reps the opportunity to offer insurance to investors not provided via the brokerage firm. The firm was censured and fined $75,000 by […]
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