Search for: "Chase Investment Services Corporation"
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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]
19 Nov 2011, 5:19 pm
FINRA says that Chase Investment Services Corporation will pay back investors for losses sustained from the unsuitable recommendation made that they buy floating rate loan funds and unit investment trusts. [read post]
15 Nov 2011, 7:47 am
FINRA ordered Chase Investment Services Corporation to reimburse customers more than $1.9 million for losses incurred from recommending unsuitable sales of unit investment trusts (UITs) and floating rate loan funds. [read post]
23 Feb 2012, 2:09 am
Arbitration Statement of Claim filed in May 2010, Claimant Rebecca Vandusen asserted that Chase Investment Services Corporation (herein, the ? [read post]
16 Nov 2011, 5:37 am
The Financial Industry Regulatory Authority (FINRA) has fined Chase Investment Services Corporation (Chase) $1.7 million and ordered it to pay more than $1.9 million to customers as restitution for losses caused by its recommendation of unsuitable unit investment trusts (UITs) and floating-rate loan funds. [read post]
5 Mar 2012, 11:42 am
The White Law Group is investigating Chase Investment Services Corporation’s sales practices involving unit investment trusts (UITs) and floating rate loan funds. [read post]
5 Mar 2012, 11:42 am
The White Law Group is investigating Chase Investment Services Corporation’s sales practices involving unit investment trusts (UITs) and floating rate loan funds. [read post]
18 Jan 2007, 1:54 pm
JP Morgan Chase & Co. is reporting a 68% increase from the sale of their corporate trust unit, as well as strong investment growth. [read post]
3 Oct 2019, 6:43 am
For example, in 2016 the SEC charged UBS Financial Services for unsuitable sales of $548 million of reverse convertibles to 8,700 inexperienced investors. [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]
5 Sep 2014, 9:12 am
Warner, Respondent (AWC 2014041874601, September 4, 2014).Warner joined the industry in 2010 when he associated with Chase Investment Services Corporation ("CISC"). [read post]
17 May 2012, 9:46 pm
One securities case was brought by Saratoga Advantage Trust -- Financial Services Portfolio. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
6 Aug 2012, 6:49 am
Moody’s Investors Service recently downgraded ratings of numerous gas prepayment bonds. [read post]
30 Dec 2021, 4:22 am
The difference between the wholesale and retail price is what the sponsor is earns for their services. [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]
28 Aug 2018, 11:20 am
M & T Securities, Inc Vincent Canzoneri Sigma Financial Corporation Ameriprise Financial Services, Inc Barry Connell Morgan Stanley UBS Financial Services Inc Charles Cox Wells Fargo Advisors, LLC Chase investment Services Corp Shane Dawkins Westpark Capital Joseph Stone Capital LLC Mark Flanagan Citigroup Global Markets Inc Wells… [read post]
18 Jun 2012, 5:00 am
Independent directors are compensated for their service on the board. [read post]
