Search for: "Service Legends, Inc. "
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30 Jul 2020, 7:41 am
” Before working at Worden Capital Management LLC (CRD# 148366), Weisberg worked at Legend Securities, Inc. [read post]
20 May 2020, 2:25 pm
Fagenson, David Newbridge Securities Corp UBS Financial Services Inc. [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services, LLC Botner, Ryan… [read post]
12 Mar 2020, 7:19 am
REGISTRATION NUMBER WORD MARK 5998420 THIS IS THE MOST IMPORTANT PERSON IN THE WORLD 5997175 FUNCTIONAL DEVICES, INC. 5997114 FRUSHBURN 5995930 IT’S PROVEN, BECAUSE IT LASTS 5995226 COMBAT OPS 5994993 WEBWRAP 5994864 VICTORIA HARBOR 5994780 FUNCTIONAL DEVICES, INC. [read post]
11 Mar 2020, 10:21 am
WORD MARK 5998420 THIS IS THE MOST IMPORTANT PERSON IN THE WORLD 5997175 FUNCTIONAL DEVICES, INC. 5997114 FRUSHBURN 5995930 IT’S PROVEN, BECAUSE IT LASTS 5995226 COMBAT OPS 5994993 WEBWRAP 5994864 VICTORIA HARBOR 5994780 FUNCTIONAL DEVICES, INC. [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital Management… [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services… [read post]
26 Nov 2019, 7:33 am
Edwards & Sons, Inc H&R Block Financial Advisors Leeuw, Nancy Leeuw, Perry PFS Investments Inc Primerica Financial Services Brian Decker Worden Capital Management LLC Legend Securities Jones, Johnnie National Securities Corporation John Thomas Financial Misseri, Bernardo Legend Securities, Inc JP Turner & Company Oakes, Thomas… [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services Bartley,… [read post]
30 Aug 2019, 4:48 pm
About CILA: The California Indian Law Association, Inc. [read post]
6 Aug 2019, 8:49 am
According to FINRA Disciplinary actions for July 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bang, Gregory NYLIfe Securities LLC Block, Gabriel First Standard Financial Company National Securities Corporation Cardwell, Harlan III Prospera… [read post]
6 Aug 2019, 8:45 am
Dewaay Financial Network, LLC VSR Financial Services, Inc Freeman, Michael Spartan Capital Securities, LLC Legend Securities, Inc Fuzie, Cindy Morgan Stanley MML Investors Services, LLC Hernandez, Evelyn Morgan Stanley Chase Investment Services Barry, Jin Spartan Capital Securities, LLC Lampert Capital Markets Inc LaVolpe, Michael… [read post]
1 Jul 2019, 12:40 pm
Primerica Financial Services LaMarca, Charles Benjamin & Jerold Brokerage I, LLC Meridian Equity Partners, Inc Laveck, David MML Investors Services, LLC MSI Financial Services, Inc Won Lee, Kevin J.P. [read post]
28 May 2019, 1:42 pm
(CRD#: 40077) and Legend Securities, Inc. [read post]
25 Apr 2019, 11:59 am
Equity Sales Company UBS Painewebber Inc Sercia, Anthony Traderfield Securities Inc Legend Securities Soto, Rani Prudential Investment Management AllianceBernstein Investments Stanley, Cornell Jr. [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC Dalton… [read post]
6 Feb 2019, 5:51 am
Although the Supreme Court provided guidance in Comedy III Prods., Inc. v. [read post]
30 Nov 2018, 2:39 pm
Voss $1.075M in his securities fraud case against Legend Securities Inc., its ex-chief compliance officer Frank Philip Fusco, and former Legend broker Danard Warthen Brown. [read post]
9 Oct 2018, 2:49 am
Inc., 754 F.2d 996, 224 USPQ 969 (Fed. [read post]
13 Sep 2018, 7:27 am
(CRD #16944), also of Brooklyn, and Legend Securities, Inc., (CRD #44952) of New York, NY. [read post]
