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30 Jul 2020, 7:41 am
Brokers have an obligation to their customers to have a reasonable basis to recommend transactions in their account. [read post]
17 May 2019, 9:09 am
Chris Raymond Kubiak (CRD#: 1527367) is a previously registered broker whose last employer was Calton & Associates, Inc. [read post]
19 Apr 2022, 10:11 am
His previous employers include First Midwest Securities, Inc. [read post]
18 Oct 2019, 7:16 am
Graham & Company, Inc. [read post]
18 May 2022, 1:42 pm
He was previously employed with Gunnallen Financial, Inc (CRD#:17609) of Tampa, FL and Ehrenkrantz King Nussbaum, Inc. [read post]
16 Jun 2017, 5:55 am
These rules explicitly prohibit brokers from making discretionary trades in a customers’ non-discretionary accounts. [read post]
2 Nov 2023, 6:55 am
This includes non-broker jobs such as administrative or accounting work. [read post]
1 Apr 2024, 7:16 am
(CRD# 15840) of El Segundo, CA, and WMA Securities, Inc. [read post]
18 Jun 2010, 9:36 pm
The broker-dealer, which had 1,300 client accounts, 100 affiliated reps, and $150 million in assets, reportedly failed to files its mandatory, quarterly Focus report. [read post]
27 Nov 2023, 8:22 am
” The broker allegedly excessively traded customer accounts to generate commissions for his own benefit at the customers’ expense. [read post]
11 Mar 2008, 6:30 pm
Brokers at Lehi Mortgage Services Inc. inflated incomes and savings account balances of loan applicants to boost [...] [read post]
17 Sep 2007, 11:51 pm
Legacy Financial Services Inc., an independent broker-dealer, has closed shop. [read post]
30 Nov 2021, 8:38 am
His previous employers include Woodstock Financial Group, Inc. [read post]
27 Jan 2022, 2:20 pm
Edwards & Sons, Inc. [read post]
29 Jul 2021, 3:08 pm
Kuta was registered with Capitol Securities Management, Inc. [read post]
24 May 2018, 6:43 am
Brokers at Laidlaw and Company must take into account certain factors such as a customer’s age, net worth, investment objectives and portfolio risk tolerance, among other things before recommending investments such as AST. [read post]
21 Jul 2020, 4:30 am
Other brokerage firms in Carter’s employment history are Merrill Lynch, Pierce, Fenner & Smith Incorporated, Financial Network Investment Corporation, and Dean Witter Reynolds Inc. [read post]
21 Jul 2020, 4:30 am
Other brokerage firms in Carter’s employment history are Merrill Lynch, Pierce, Fenner & Smith Incorporated, Financial Network Investment Corporation, and Dean Witter Reynolds Inc. [read post]
9 May 2022, 1:50 pm
Excess cash in the IDAs was aggregated in a single omnibus account. [read post]
27 Apr 2022, 7:02 am
(CRD#:5670), Gunnallen Financial, Inc. [read post]
