Eric hollifield sec

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August undefined, 2024

WebMar 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 …

SEC Charges Former LPL Advisor Eric Hollifield With …

WebJul 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. http://securities.mikameyers.com/eric-hollifield/ marksman produce ltd

Eric Shea Hollifield Investor Claims

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 ... WebMar 8, 2024 · Hollifield filed a lawsuit naming LPL Financial as a third-party plaintiff. Eric Shea Hollifield (CRD: 3091319) was registered as a broker with LPL Financial, Inc. from 2016 until 2024. Previously, Hollifield was registered as a broker with Sterne Agee Financial Services from 2008 until 2016. 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 navy\\u0027s new carrier

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

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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. 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 … marksman pricingWebJul 5, 2024 · July 5, 2024. The Securities and Exchange Commission has charged Eric Hollifield of Winder, Georgia, with misappropriating at least $1.7 million from two advisory … marksman pricing engine login

"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 … " - Eric hollifield sec

Eric hollifield sec

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

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 ... WebOct 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. …

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http://securities.mikameyers.com/eric-hollifield/ WebThe SEC filed its complaint Thursday against Eric S. Hollifield, a 49-year-old Georgia resident, who was a registered representative of LPL from 2016 to 2024 and a co-owner, …

WebJul 1, 2024 · The Securities and Exchange Commission yesterday charged Eric Hollifield of Winder, Georgia, with misappropriating at least $1.7 million from two advisory 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, …

WebAug 29, 2024 · Eric S. Hollifield Attorney/Law Firm Details Plaintiff Attorneys Madison Graham Loomis Attorney at U.S. Securities & Exchange Commission-GA Suite 900, 950 East Paces Ferry Rd., N.E. Atlanta, GA 30326-1382 W. Shawn Murnahan Attorney at Securities and Exchange Commission Suite 900, 950 East Paces Ferry Road, N.E. … WebERIC SHEA HOLLIFIELD (CRD# 3091319) The report summary provides an overview of the representative's professional background and conduct. The information contained in …

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 …

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... marksman produce bury st edmundsWebPrior to September 2024, Hollifield was an investment adviser representative of Hamilton Investment Counsel, LLC ("HIC"), an SEC-registered investment adviser based in … navy\u0027s newest carrierWebJul 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. marksman pressure sprayerWebJun 30, 2024 · The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Eric Shea Hollifield (CRD#3091319) regarding allegations made regarding the following: Claim(s) Made Against Eric Shea Hollifield: Claim Date: 6/30/2024 “Plaintiff Securities and Exchange Commission (Commission) alleges that this matter involves … navy\u0027s newest aircraft carrierWebPrior to September 2024, Hollifield was an investment adviser representative of Hamilton Investment Counsel, LLC ("HIC"), an SEC-registered investment adviser based in … marksman principlesWebJul 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 … navy\\u0027s newest big deck amphibious shipWebJul 27, 2024 · In a press release dated July 1, 2024, the Securities and Exchange Commission (SEC) charged ERIC S HOLLIFIELD of Winder, Georgia, with … navy\\u0027s newest battleship