Search for: "COR Clearing, LLC" Results 1 - 20 of 29
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5 Oct 2018, 8:25 am by SEClaw Staff
As part of the settlement, COR has agreed to exit a key penny stock clearing business by significantly limiting the sale of penny stocks deposited at COR. [read post]
5 Oct 2018, 8:25 am by SEClaw Staff
As part of the settlement, COR has agreed to exit a key penny stock clearing business by significantly limiting the sale of penny stocks deposited at COR. [read post]
18 Dec 2018, 11:12 am by Silver Law Group
According to FINRA Disciplinary actions for November 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   Christopher Cervino   Primary Capital, LLC   COR Clearing LLC   Abdul Chowdhury   AXA Advisors, LLC   JP Morgan Securities LLC   Michael Durgin   Hilltop Securities Inc.… [read post]
23 Feb 2021, 11:38 am by Silver Law Group
Silver Law Group has investigated commissions and fees charged by Worden Capital Management LLC and COR Clearing. [read post]
16 Nov 2020, 3:31 am
" In re Rodeowave Entertainment, LLC, Serial No. 87801076 (November 13, 2020) [not precedential] (Opinion by Judge Christen M. [read post]
28 May 2014, 6:14 am by Joy Waltemath
The employee alleged that she was fired from her job as an accountant with Legent Clearing, LLC, a wholly owned subsidiary of COR Clearing, LLC, for internally reporting violations of FINRA rules and federal securities laws, including anti-money-laundering provisions and the Bank Secrecy Act of 1970. [read post]
3 Jun 2022, 6:53 pm by Lawrence B. Ebert
Cir. 2022), and any sub sidiary fact findings about extrinsic evidence for clear er ror, Forest Labs., LLC v. [read post]
13 May 2022, 10:54 am by Holly Brezee
These steps may include de-cluttering, new paint, modern finishes, and décor, and hopefully, the homeowner’s real estate agent is advising with the goal to obtain maximum market price. [read post]
18 May 2011, 2:57 am by SHG
© 2011 Simple Justice NY LLC. [read post]
26 Mar 2018, 12:06 pm by Renae Lloyd
According to his FINRA Broker Check, Cervino was registered with Primary Capital in New York, NY from 10/30/2014 – 01/07/2016 and prior to that he was registered with COR Clearing LLC in Edison, NJ from 08/07/2013 – 10/29/2014. [read post]
27 Mar 2017, 7:12 am by Renae Lloyd
According to his FINRA Broker Check, Cervino was registered with Primary Capital in New York, NY from 10/30/2014 – 01/07/2016 and prior to that he was registered with COR Clearing LLC in Edison, NJ from 08/07/2013 – 10/29/2014. [read post]
6 Feb 2022, 1:30 pm
The plaintiff is a California corporation that provides residential design and decoration services, including the delivery, staging and leasing of home furnishings and décor. [read post]
9 Jan 2023, 4:37 am
Brunetti himself found that out last year when his attempt to register "FUCK" failed to clear that hurdle. [read post]