Search for: "BlackBook Capital, LLC"
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28 Aug 2014, 7:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Blackbook Capital LLC (Blackbook) concerning allegations that: 1) between April 2010 and June 2011, Blackbook charged customers $60.50 on each purchase or sale transaction in addition to or in place of a designated commission; 2) between August 2010, and August 2011, Blackbook failed to search its records in response to requests by the Financial Crimes Enforcement… [read post]
6 Mar 2023, 3:30 am
Wells Fargo Securities, LLC, Respondent (FINRA Arbitration Award) ... [read post]
26 Oct 2018, 7:34 am
According to FINRA Disciplinary actions for October 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 Jason Beem Morgan Stanley UBS Financial Services Inc Stephen Grivas Blackbook Capital LLC Obsidian Financial Group LLC Eric Negron LPL Financial LLC … [read post]
4 Jun 2018, 6:30 am
According to FINRA Disciplinary actions for May 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 Lawrence Joseph Alfano Blackbook Capital LLC EKN Financial Services INC Terry Dean Bahgat Gradient Securities, LLC Cambridge Investment Research, Inc Matthew Wayne Bailey Wells… [read post]
6 Feb 2018, 7:33 am
Wells Fargo Advisors, LLC Philip Orezio Fatta Spartan Capital Securities, LLC Blackbook Capital, LLC Stephen Grivas Blackbook Capital, LLC Obsidian Financial Group, LLC Lee Allen Jenkins Jr. [read post]
14 Apr 2015, 6:46 am
., Obsidian Financial Group, LLC, John Thomas Financial, Prestige Financial Center, Inc., Blackbook Capital LLC, Aegis Capital Corp., and since August 2014 Joseph Stone Capital L.L.C. [read post]
6 Feb 2018, 7:36 am
Blackbook Capital, LLC Jay Anthony Pandy-Tatum Charles Schwab & Co., Inc. [read post]
23 Mar 2015, 6:29 am
Currently, Deans is associated with brokerage firm BlackBook Capital LLC. [read post]
