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16 May 2019, 8:31 am
Health Insurance Innovations raised more than $65 million with its public offering, which used underwriters Citigroup Global Markets, Credit Suisse Securities USA, BofA Merrill Lynch, and Raymond James Financial. [read post]
15 May 2019, 3:45 pm
Lee, and Raymond Chan. [read post]
8 May 2019, 4:00 am
Raymond Beurlot, checked “yes” next to the statement: “the compartment syndrome in the right hand/arm developed, more probably than not, during the course and scope of employment with Crest Industries, LLC. [read post]
19 Apr 2019, 5:36 am
According to FINRA Disciplinary actions for March 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 Ferree, Stuart LPL Financial LLC Invest Financial Corporation Anderson, Andy LPL Financial LLC Invest Financial Andrzejewski,… [read post]
18 Apr 2019, 6:30 am
Agency Raymond Sibley Director of Risk Management City and County of Denver Gary Langsdale University Risk Officer Pennsylvania State University Jane Waters Insurance Program Administrator DC Office of Risk Management Mark Walls Vice President Communications & Strategic Analysis Safety National Author Michael Stack, CEO Amaxx LLC. [read post]
15 Apr 2019, 8:38 am
Raymond, Civ. [read post]
14 Apr 2019, 2:02 pm
"Manhattan Review Test PrepIn Manhattan Review LLC v. [read post]
18 Mar 2019, 6:46 am
From January 2008 until November 2011 Mathis was registered with Wells Fargo Advisors, LLC. [read post]
5 Feb 2019, 1:16 pm
His previous employers are Raymond James Financial Services, Inc. [read post]
18 Jan 2019, 9:35 am
His previous employers include Raymond James Financial Services, Inc. [read post]
15 Jan 2019, 7:19 am
Previous employment included Wells Fargo Advisors, LLC from Jan 2008 to November 2011, Wachovia Securities, LLC from January 2008 to May 2009 and A. [read post]
7 Jan 2019, 8:10 am
Chris Raymond Kubiak (CRD #1527367, Milwaukee, Wisconsin) Without admitting or denying the findings, Kubiak consented to the sanction and to the entry of findings that he converted customer funds. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc… [read post]
27 Dec 2018, 9:08 am
Michael Kurtz worked at Henley & Company LLC in Roslyn Heights from January 4, 2010 until July 30, 2018, and with Raymond James Financial Services, Inc. in Roslyn Heights from January 3, 2006 until December 15, 2009, FINRA notes. [read post]
18 Dec 2018, 11:08 am
Pace & Co, Inc Damian Serret PFS Investments Inc James Ward Northwestern Mutual Investment Services, LLC Stephen Yaworsky Raymond James Financial Services, Inc Bancwest Investment Services, Inc. [read post]
13 Dec 2018, 2:00 pm
(CRD #249) of Jericho, NY, Raymond James Financial Services, Inc. [read post]
12 Dec 2018, 11:52 am
That same year, Coleman and Raymond Pace Alexander filed a petition to desegregate Girard College which was created in 1833 by the will of Stephen Girard to benefit “poor, white orphan boys. [read post]
3 Dec 2018, 6:45 pm
Mark Tudor Has 5 Disclosures on His FINRA BrokerCheck Report, & Has 21 Years of Experience in the Securities Industry with 6 Different Firms Mark Tudor was registered with Raymond James Financial Services, Inc in Lake Mary, FL from June 13, 2014 until October 31, 2018, and with Raymond James & Associates, Inc. in Winter Park, FL from February 13, 2013 until June 17, 2014, FINRA notes. [read post]
16 Nov 2018, 12:41 pm
Lincoln Investment Planning, LLC (CRD #519, Fort Washington, Pennsylvania) Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to implement reasonably designed surveillance procedures to monitor its registered representatives’ rates of effecting variable annuity exchanges. [read post]
8 Nov 2018, 7:34 am
(Raymond James) for altering documents. [read post]
