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24 Apr 2021, 11:27 am
The GPB funds were marketed to independent broker-dealers and investment advisers who would in turn sell the GPB funds to their retail investors. [read post]
28 Apr 2021, 5:33 am
Geneos Wealth Management, Inc. is a Colorado-based broker-dealer. [read post]
5 May 2021, 11:06 am
AEON Capital Inc. is a broker-dealer headquartered in Middletown, New Jersey. [read post]
14 Nov 2018, 2:54 pm
His BrokerCheck record notes that he was previously a broker for Banc of America Investment Services, Inc. and Citigroup Global Markets (C). [read post]
28 Apr 2021, 4:56 am
IBN Financial Services, Inc. is a broker-dealer based in Liverpool, New York. [read post]
28 Apr 2021, 5:01 am
Ausdal Financial Partners, Inc. is a broker-dealer based in Davenport, Iowa. [read post]
17 Sep 2019, 10:18 am
Stifel Nicholas & BMO Capital Markets Sanctioned for Reportedly Providing Deficient Blue Sheet Data According to press announcement on September 16, two broker dealers, Stifel, Nicolaus & Co., Inc. and BMO Capital Markets Corp. have agreed to settle charges for providing incomplete and inaccurate securities trading information to the SEC. [read post]
5 May 2021, 10:18 am
Capital Investment Group, Inc. is a broker-dealer headquartered in Raleigh, North Carolina. [read post]
29 Sep 2009, 2:58 pm
Bridge, a salesperson formerly associated with broker-dealer A.G. [read post]
5 Jul 2010, 1:55 pm
Among the broker/dealers on the list: AFA Financial Group LLC - AFA sold $2.5 million of Provident private placements; in April, the broker/dealer said it was closing its business due to overwhelming legal and insurance costs. [read post]
1 Dec 2011, 10:43 am
All the broker-dealers and individuals named above settled with FINRA. [read post]
11 Apr 2014, 3:11 pm
The fines, some mentioned in prior blog posts, point to continued poor supervision at large broker-dealers. [read post]
5 May 2021, 10:37 am
Calton & Associates, Inc. is a Florida-based broker-dealer. [read post]
28 Apr 2021, 5:29 am
Crystal Bay Securities, Inc. is a defunct broker-dealer out of Delray Beach, Florida. [read post]
29 Aug 2023, 1:10 pm
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
17 Jan 2012, 6:58 am
Corby Capital Markets, Inc., a FINRA registered broker-dealer based in Boston, Massachusetts recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $100,000 and required to certify to FINRA in writing within 30 days of the issuance of the AWC that it currently has in place systems and procedures reasonably designed to achieve compliance with the laws, regulations, and rules concerning MSRB reporting requirements. [read post]
3 Aug 2016, 2:30 pm
Margiotta has been employed and registered since June 2015 with Merrill Lynch, Pierce, Fenner & Smith, Inc., a broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
4 Apr 2022, 3:56 am
Liquidation – How to Recover Losses involving Resource REIT The White Law Group continues to investigate potential securities claims involving broker dealers who may have improperly recommended Resource REIT Inc. [read post]
26 Jul 2017, 5:32 am
The White Law Group is investigating potential securities fraud claims involving broker-dealers’ improper recommendations of high-risk non-traded REIT investments, like Hospitality Investors Trust Inc. [read post]
