Search for: "National Registered Agents, Inc."
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29 Mar 2018, 9:17 am
According to his FINRA BrokerCheck report, while allegedly perpetrating the scheme, Savoie was registered with Cambridge Investment Research Inc., in Metairie, LA from July 2013 until August 2015 when he was discharged. [read post]
28 Mar 2018, 9:41 am
He was reportedly fined $2,500.00, suspended for 15 days and sanctioned with disgorgement in the amount of $22,714.30 According to his FINRA BrokerCheck report, Fawcett was registered with Westpark Capital Inc. in Los Angeles, CA from June 2015 until he was fired this month because he allegedly “conducted business from a non-disclosed location and made false representations to the firm. [read post]
26 Mar 2018, 12:06 pm
The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent. [read post]
19 Feb 2018, 12:00 am
However, to access of the summaries of more than 4,800 posted decisions -- ranging from Abandonment of Position to Zero Drug Tolerance Policy -- you must be a Registered Readers. [read post]
18 Jan 2018, 11:45 am
According to his FINRA BrokerCheck report, Savoie was registered with Cambridge Investment Research Inc., in Metairie, LA from July 2013 until August 2015 when he was discharged. [read post]
15 Jan 2018, 9:55 am
According to Tyler, Woodbury will pay nearly $600,000 to people who were victimized while Wanner worked there as a FINRA registered securities agent. [read post]
29 Dec 2017, 12:31 pm
FINRA administers a dispute resolution forum for investors and brokerage firms and their registered employees. [read post]
14 Dec 2017, 8:05 am
On Tuesday, the regulator also fined Next Financial Group Inc. [read post]
12 Dec 2017, 4:36 pm
The company, Munched, Inc. halted its ICO after being contacted by the SEC, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. [read post]
11 Dec 2017, 8:45 am
Beck Inc. [read post]
4 Dec 2017, 5:57 am
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. [read post]
16 Nov 2017, 10:39 am
The post Hornor Townsend & Kent Inc. [read post]
1 Nov 2017, 10:21 am
NASD (National Association of Securities Dealers, Inc.) [read post]
22 Sep 2017, 6:40 am
Coty Inc. v. [read post]
17 Sep 2017, 7:30 pm
The securitization will be effected in two transactions involving separate purchaser trusts, The National Collegiate Student Loan Trust (NCSLT) 2007-3 and NCSLT 2007-4. [read post]
1 Sep 2017, 6:49 am
Link to Court of Appeals Docket here ---> 01-15-00943-CV Background In their Second Amended Statement of Claim, the Parkers, pursuant to the rules of the Financial Industry National Regulatory Authority ("FINRA"),[1] initiated arbitration proceedings against IB. [read post]
24 Aug 2017, 6:27 am
,” an entity for which Camarco is the sole registered agent and which shares an address with her office. [read post]
23 Jul 2017, 9:20 pm
Patent and Trademark Office’s rejection of Simon Tam’s application to register “The Slants” as a mark for the entertainment services of his rock band. [read post]
20 Jul 2017, 4:34 am
To register or for more information, see the REGTAP website here. [read post]
4 Apr 2017, 12:36 pm
What if a foreign corporation has a registered agent here? [read post]
