Search for: "Fenner Inc"
Results 161 - 180
of 485
Sort by Relevance
|
Sort by Date
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip… [read post]
20 Jan 2019, 11:27 am
David Manor has been registered at the following firms: Wells Fargo Clearing Services, LLC, Boston, Massachusetts— August 8, 2016 to February 6, 2018Santander Securities, LLC, Brookline, Massachusetts— February 5, 2013 to January 7, 2013Merrill Lynch, Pierce, Fenner & Smith Inc., Boston, Massachusetts— June 29, 2012 to January 7, 2013Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the… [read post]
20 Jan 2019, 7:57 am
From January 2016 through August 2016 Hellman was associated with FMS Bonds, Inc. [read post]
15 Jan 2019, 2:41 pm
He was discharged by Securities America, Inc. on February 4, 2015, for alleged failure to follow firm policies, and also voluntarily resigned from Merrill Lynch, Peirce, Fenner & Smith Inc. after the firm alleged on May 19, 2014 that Destefano allegedly was involved in potentially mis-marking order tickets, FINRA reports. [read post]
11 Jan 2019, 9:55 am
Previous employment included Stanford Group Company from January to March 2009 and Merrill Lynch, Pierce, Fenner & Smith Inc. from March 2000 to Jan 2009. [read post]
11 Jan 2019, 8:41 am
Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. [read post]
9 Jan 2019, 7:25 am
In March 2011, Muran was terminated by Merrill Lynch Pierce, Fenner and Smith, Inc. [read post]
3 Jan 2019, 5:54 am
Baird & Co, Inc Schreiner, Phillip Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith, Inc Sterr, Margaret M Holdings Securities, Inc Catalyst Solutions Group Suhar, Charles The Huntington Investment Company LPL Financial LLC Swords, Zachary Farmers Financial Solutions, LLC Valenzuela, Francisco Morgan Stanley Merrill Lynch, Pierce, Fenner &… [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,… [read post]
28 Dec 2018, 9:31 am
Christopher Hellman was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Boca Raton, Florida from September 21, 2016 until October 16, 2018, FINRA notes. [read post]
24 Dec 2018, 7:31 am
Paul Murans has also worked for UBS Financial Services Inc. in Indianapolis, Indiana from March 11, 2011 until November 6, 2017 and also was registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Indianapolis, Indiana from April 11, 2003 until March 28, 2011, FINRA states. [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth … [read post]
18 Dec 2018, 11:03 am
Pro-Integrity Securities, Inc Makiaha Evans Brendan Feitelberg United Planners’ Financial Services of America LPL Financial LLC Edgar Guzman-Gonzalez JP Morgan Securities LLC Mario Jimenez Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America, N. [read post]
27 Nov 2018, 10:11 am
William Dumchus has also worked at the following firms: • Wells Fargo, NJ, Westfield, NJ — February 3, 2006 through April 17, 2014 • UBS Financial Services, Inc., Weehawken, NJ — December 1, 2000 through February 23, 2006 • Salomon Smith Barney, Inc., New York, NY — July 31, 1993 through December 11, 2000 • Lehman Brothers Inc., New York, NY — April 27, 1984 through July 31, 1993 • Merrill Lynch, Pierce,… [read post]
23 Nov 2018, 4:06 am
Cody was previously registered with Salomon Smith Barney and Merrill lynch Pierce, Fenner & Smith Inc. [read post]
13 Nov 2018, 5:57 am
Edwards & Sons, Inc. of St. [read post]
26 Oct 2018, 7:31 am
Cole Financial, Inc Keven Gayle NYLife Securities LLC Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America NA Cristhelle Medina J.P. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates LP… [read post]
3 Oct 2018, 9:45 am
From October 1989 to July 1994, Kenahan was registered with Smith Barney Inc. [read post]
2 Oct 2018, 5:48 am
Diversified Securities, Inc Mary Olsen Paul Prestia Laidlaw & Company LTD Network 1 Financial Securities Inc. [read post]
