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10 Jan 2020, 12:13 pm
The letter, acknowledged by FINRA on January 2nd was signed by Carver on December 10th, while Cahill signed on Dec 11th.Cahill’s CareerAccording to FINRA’s BrokerCheck, in a March 13, 2012 settlement with a customer who accused Cahill of making unsuitable investments from October 2008 to March 2010, there was a $42,100 settlement payout, and was made to resign from the firm in August, 2013 due to “allegations relating to employee’s compliance” with the firm’s… [read post]
10 Jan 2020, 7:40 am
The ex-registered representative, who was fired from Janney Montgomery Scott early last year, is accused of potentially converting and/or misappropriating an elderly client’s funds while he was at Morgan Stanley. [read post]
6 Jan 2020, 10:50 am
Cahill, Janney Montgomery Scott in Upper Saddle River, NJ Are you concerned about investments with John J. [read post]
14 Nov 2019, 3:14 pm
According to a Complaint filed by Janney Montgomery Scott (“Janney”) in the Eastern District of Pennsylvania, financial advisor Jordan Braunstein (“Braunstein”) left with firm client data and violated the restrictive covenants in his contracts. [read post]
1 Nov 2019, 5:49 am
., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
1 Nov 2019, 5:49 am
., Melville, New York– May 14, 2015 to March 4, 2019Janney Montgomery Scott LLC, Melville, New York– September 14, 2007 to May 15, 2015Oppenheimer & Co., Inc., Melville, New York– March 14, 2003 to September 18, 2007 Wachovia Securities, Inc., St. [read post]
11 Sep 2019, 12:33 pm
Apostolos Pitsironis (Paul Pitsironis), Janney Montgomery Scott, Melville, NY Are you concerned about investments with Apostolos Pitsironis in Melville, NY? [read post]
6 Aug 2019, 10:59 am
The post Janney Montgomery Scott Charged with Churning High-fee Mutual funds appeared first on The White Law Group. [read post]
26 Jul 2019, 1:24 pm
Five of the firms that self-reported collectively paid over $30M in restitution: Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and retirement accounts, also for mutual fund fee… [read post]
25 Jun 2019, 10:25 am
On June 25, 2019, Illinois Governor JB Pritzker made good on his campaign promise to sign an adult-use marijuana law. [read post]
20 Jun 2019, 9:19 am
Advisor Craig Sherrer (Sherrer), currently employed by Janney Montgomery Scott LLC (Janney Montgomery) and formerly with Newbridge Securities Corporation (Newbridge Securities) has been subject to at least one customer complaint during the course of his career. [read post]
17 May 2019, 8:42 am
The post Former Janney Montgomery Scott Broker Faces Charges appeared first on Securities Fraud Attorney. [read post]
9 May 2019, 12:29 pm
The post Janney Montgomery Scott | Supervisory Failures appeared first on The White Law Group. [read post]
5 Apr 2019, 12:30 pm
District court: There is no clearly established right for suicidal pretrial detainees not to be deprived of bedding and forced to sleep on a freezing concrete floor for several consecutive months in constantly lit, frequently noisy area—so qualified immunity for Montgomery County, Ohio jail officials. [read post]
5 Apr 2019, 12:30 pm
District court: There is no clearly established right for suicidal pretrial detainees not to be deprived of bedding and forced to sleep on a freezing concrete floor for several consecutive months in constantly lit, frequently noisy area—so qualified immunity for Montgomery County, Ohio jail officials. [read post]
2 Apr 2019, 2:31 pm
Real property — Foreclosure action — Statute of limitations In March 2015, Jeffrey Nadel, Scott Nadel, Daniel Menchel, and John-Paul Douglas, appellees, acting as substitute trustees, filed an Order to Docket in the Circuit Court for Montgomery County, seeking to foreclose on real property owned by Barbara and Melvin Gibbs, appellants. [read post]
19 Mar 2019, 11:18 am
RBC Capital Markets Santander Securities Janney Montgomery Scott Wells Fargo Advisors Financial Network You can view a full list of all 79 investment advisers on the SEC’s release announcing the settlement. [read post]
28 Jan 2019, 12:00 pm
In his first three elections, Scott Walker won the Milwaukee Area by 47,200; 44,900; and 47,900 votes, respectively. [read post]
22 Jan 2019, 8:00 am
Christopher David Sinkula (CRD #2001512) is a currently registered broker and investment advisor who is currently employed with Janney Montgomery Scott LLC (CRD #463) of Stuart, FL. [read post]
2 Jan 2019, 8:14 am
“The positive is banks are probably healthier, the negative is you’re not going to have fully functioning markets,” said Jody Lurie, corporate credit analyst for Janney Montgomery Scott, as quoted by MarketWatch. [read post]
