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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]
27 Nov 2023, 7:44 am
Jose Candelario (Jose Manuel Candelario Padilla CRD# 4847560) is a previously registered broker and investment advisor last registered with Nationwide Planning Associates Inc. [read post]
21 Nov 2023, 2:26 pm
Diamond was previously registered with an Atlanta-based broker-dealer called Kalos Capital Inc. when he sold GPB’s securities. [read post]
20 Nov 2023, 9:01 pm
.), the BLMIS trustee brought fraudulent- transfer claims, seeking to avoid and recover direct and subsequent transfers of alleged customer property against (a) two related offshore feeder funds (Funds) that were the initial transferees from BLMIS and (b) a number of European banks, brokers, and related persons that were the subsequent transferees (Subsequent Transferees)and had acted as advisers and service providers to the Funds.21 The Funds received nearly $500 million from BLMIS within… [read post]
16 Nov 2023, 6:28 am
If you purchased an investment fund managed by a Traderfield broker, please contact Banks Law Office. [read post]
15 Nov 2023, 6:26 am
Goldman admitted the findings in the SEC’s order and paid a $6 million civil penalty to resolve the SEC’s charges; The SEC charged broker-dealer Citadel Securities LLC with violating a provision of Regulation SHO that requires broker-dealers to mark sale orders as long, short, or short exempt. [read post]
14 Nov 2023, 9:01 pm
Goldman admitted the findings in the SEC’s order and paid a $6 million civil penalty to resolve the SEC’s charges; The SEC charged broker-dealer Citadel Securities LLC with violating a provision of Regulation SHO that requires broker-dealers to mark sale orders as long, short, or short exempt. [read post]
13 Nov 2023, 5:05 am
Forecasting Predicted Rises in Premiums Of particular concern to the art insurance industry is the fact that the vast majority of valuable art collections are concentrated in major urban centers such as New York, Los Angeles, and Miami, whose location along the coasts makes them intrinsically susceptible to the threats posed by natural disasters.[4] A startling revelation by the National Association of Insurance Commissioners in 2021 found that in the United States, property litigation… [read post]
12 Nov 2023, 9:23 pm
This is because the vast majority of brokerage firms have mandatory arbitration clauses in their account agreements that require investors to file their disputes through FINRA. [read post]
10 Nov 2023, 7:29 am
He assisted the client in transferring funds from her brokerage account to her checking account. [read post]
10 Nov 2023, 7:01 am
Previous employers include Ameriprise Financial Services, Inc. [read post]
9 Nov 2023, 9:01 pm
Definition of a “Dealer” Under the Securities Exchange Act Section 3(a)(5)(a) of the Exchange Act defines a dealer as, “any person engaged in the business of buying and selling securities for his own account, through a broker or otherwise. [read post]
9 Nov 2023, 6:29 am
His previous employers include UBS Financial Services Inc. [read post]
8 Nov 2023, 10:14 pm
For investors, this rule means that they can expect their broker-dealer to take into account their specific investment profile before making any recommendations. [read post]
8 Nov 2023, 2:00 pm
Kevin Hobbs (Kevin Andrew Hobbs CRD# 4267482) is a previously registered broker whose only employer was PFS Investments Inc. [read post]
8 Nov 2023, 9:24 am
Inc. [read post]
6 Nov 2023, 11:00 am
(CRD#:15296), Southfield, MIB, 07/31/2003 – 09/08/2016, VALIC FINANCIAL ADVISORS, INC. [read post]
6 Nov 2023, 9:46 am
Previously, he was registered with The Strategic Financial Alliance, Inc. [read post]
2 Nov 2023, 6:55 am
This includes non-broker jobs such as administrative or accounting work. [read post]
2 Nov 2023, 6:36 am
His previous employers include Raymond James & Associates, Inc. [read post]
