2024 Eric hollifield sec

Eric hollifield sec

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August undefined, 2024

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. 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 …

Eric Hollifield Barred by FINRA May Recover Investment Losses

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., … 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 rooms to go suwanee ga warehouse phone number

IAPD - Investment Adviser Public Disclosure - Homepage

WebOct 8, 2024 · Eric Hollifield is a previously licensed financial advisor with LPL Financial LLC and Sterne Agee Financial Services. According to Hollifield’s BrokerCheck Report, Eric Hollifield was barred by FINRA from the securities industry in October 2024. Eric Hollifield Investigation According to FINRA: Eric Hollifield barred by FINRA. WebNov 24, 2024 · The SEC has filed a civil enforcement action against financial Advisor Eric Hollifield of Dacula, Georgia alleging sales practice violations. The Commission alleges that, during 2024, Hollifield defrauded two of his advisory clients and one of his brokerage customers by misappropriating their funds for his personal use. This apparently included… WebAug 26, 2024 · Hollifield was a longtime financial advisor with approximately 20 years of experience in the securities industry. According to FINRA BrokerCheck, Hollifield has … rooms to go sumter sc

Eric hollifield sec

Eric Shea Hollifield (CRD#3091319) - The Securities Lawyers

WebEric Hollifield has spent 23 years in the securities and was most recently registered with LPL Financial in Dacula, Georgia from 2016 until 2024. His previous registrations include Sterne Agee Financial Services in Dacula, … WebERIC SHEA HOLLIFIELD (CRD# 3091319) The report summary provides an overview of the representative's professional background and conduct. The information contained in …

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WebOct 26, 2024 · Eric Hollifield (CRD#: 3091319) is a previously registered Broker and previously registered Investment Advisor. He entered the securities industry in 1998 and previously worked for LPL Financial, LLC; Sterne Agee Financial Services, Inc.; H&R Block Financial Advisors, Inc; and Merrill Lynch, Pierce, Fenner & Smith, Inc. WebB. Hollifield Steals $1.24 Million From HIC Brokerage Customer Using a Goldman Sachs Ruse . 29. On August 10, 2024, Hollifield sold approximately $480,000 in securities, …

WebOct 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... 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 ...

WebThe Securities and Exchange Commission says it has charged a former financial advisor with misappropriating $1.7 million from two advisory clients and one brokerage customer to buy himself a home.. Starting at least in January 2024, Eric Hollifield of Winder, Georgia, allegedly transferred client assets to an outside business that he controlled and then … WebThe U.S. Securities and Exchange Commission sued Eric S. Hollifield Thursday in Georgia Northern District Court over alleged violations of federal securities laws.

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 …

WebNov 24, 2024 · The SEC has filed a civil enforcement action against financial Advisor Eric Hollifield of Dacula, Georgia alleging sales practice violations. The Commission alleges … rooms to go storage cabinetWebSecurities 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 ... rooms to go swivel reclinersWebJul 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 … rooms to go table \u0026 chairsWebJul 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 … rooms to go synchrony bank phone numberhttp://securities.mikameyers.com/eric-hollifield/ rooms to go swivel chairs for living roomWebJun 30, 2024 · Securities and Exchange Commission: Defendant: Eric S. Hollifield: Case Number: 2:2024cv00129: Filed: June 30, 2024: Court: US District Court for the Northern … rooms to go stressless reclinersWebJul 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 … rooms to go synchrony pay bill