Search for: "CHASE INVESTMENT SERVICES CORP."
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23 Nov 2011, 1:24 pm
Chase Investment Services Corp. has been ordered to reimburse customers $1.92 million for losses they incurred after Chase Investment brokers recommended the customers purchase unsuitable unit investment trusts and floating rate loan funds, the Financial Industry Regulatory Authority (FINRA) announced on Nov. 15. [read post]
15 Apr 2014, 9:43 am
Chase Investment Services Corp. [read post]
23 Dec 2014, 8:30 pm
Supreme Court denied Chase Investment Services Corp. [read post]
16 Nov 2011, 6:11 am
According to FINRA, brokers with Chase Investment Services Corp. made nearly 260 unsuitable investment recommendations involving UITs and floating-rate loan funds to unsophisticated customers with little or no investment experience and who had conservative risk tolerance. [read post]
17 Mar 2014, 8:24 pm
Chase Investment Services Corp. last week (Mr. [read post]
11 Sep 2014, 4:27 am
In the Matter of Xiao Yun Yu, Respondent (2012034383201, September 9, 2014).In 2010, Yu became registered with FINRA member firm Chase Investment Services Corp. [read post]
23 Mar 2020, 6:49 am
Investment Losses Have you suffered losses investing in Equitrans Midstream Corp.? [read post]
14 May 2020, 10:38 am
(FSP) Have you suffered losses investing in Franklin Street Properties Corp. at the advice of your financial advisor? [read post]
18 Aug 2014, 4:50 am
Katayanagi, Respondent (FINRA Office of Hearing Officers, Order Accepting Offer of Settlement, 2013035572001, August 13, 2014).Katayanagi was first registered in 2008 and in March 2009 was registered with FINRA member firm Chase Investment Services Corp (after October 2012 a J.P. [read post]
12 Nov 2014, 7:15 pm
The petition of the day is: Chase Investment Services Corp. v. [read post]
24 Feb 2014, 8:25 pm
Court of Appeal for the Ninth Circuit ruled that a wage and hour class action, brought on behalf of financial advisors against Chase Investment Services Corp., would not be compelled to arbitration because the parties’ agreement calls for arbitration under Financial Industry Regulatory Authority (“FINRA”) rules, [...] [read post]
18 Jun 2020, 10:19 am
Aggressive financial advisors may have unsuitably recommended REG in an effort to chase yield. [read post]
26 Jun 2018, 6:48 am
He was terminated from JP Morgan following allegations he failed to disclose a reportable event on his Form U4, and, while registered with Chase Investment Services Corp, recommended an unsuitable investment and misrepresented material facts related to an investment in auction rate securities. [read post]
16 Jul 2019, 8:49 am
His previous employers include Chase Investment Services Corp. [read post]
16 May 2019, 10:53 am
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. [read post]
17 May 2019, 7:19 am
Morgan Securities LLC (CRD#:79) of Peekskill, NY, and Chase Investment Services Corp. [read post]
20 Apr 2022, 2:13 pm
Morgan Securities LLC (CRD#:79) of Sherman Oaks, CA, Chase Investment Services Corp. [read post]
16 May 2019, 1:55 pm
Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. [read post]
8 Jul 2020, 7:42 am
He previously worked for Money Concepts Capital Corp (CRD# 12963), Chase Investment Services Corp (CRD# 25574), Banc One Securities Corporation (CRD# 16999), and Edward Jones (CRD# 250). [read post]
15 Mar 2021, 7:13 am
Previous employers include LPL Financial LLC (CRD#:6413), Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), and Chase Investment Services Corp. [read post]
