Search for: "JANNEY MONTGOMERY SCOTT LLC"
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3 May 2018, 1:40 pm
His last employer was Janney Montgomery Scott, LLC (CRD# 463) of Hackensack, NJ, from 03/02/2007 to 06/13/2017. [read post]
13 Jun 2023, 8:15 am
Eric Avila has joined Philadelphia-based Janney Montgomery Scott LLC as director of public finance for its capital markets group. [read post]
18 Apr 2018, 11:24 am
Continue reading The post Scott William Palmer, Former Janney Montgomery Scott Broker, Barred by FINRA appeared first on Investor Lawyers Blog. [read post]
5 Dec 2017, 7:19 am
Sinkula CRD#2001512 Silver Law Group is investigating former Stuart, Florida-based Janney Montgomery Scott LLC broker Christopher Sinkula, after a customer allegation of misrepresentation and unsuitable recommendations were received by FINRA. [read post]
15 Sep 2020, 1:11 pm
Apostolos Pitsironis (CRD#: 2804907) is a former registered broker and investment advisor whose last employer was Janney Montgomery Scott LLC (CRD#:463) of Montgomery, NY. [read post]
11 Jul 2011, 3:26 pm
The SEC settled charges that Janney Montgomery Scott LLC failed to establish and enforce policies and procedures to prevent the misuse of material, nonpublic information, as required by law. [read post]
12 Jun 2018, 6:54 am
According to BrokerCheck records financial advisor Jack Griffith (Griffith), currently employed by Janney Montgomery Scott LLC (Janney Scott) has been subject to five customer complaints and one lien. [read post]
14 Nov 2017, 3:37 pm
Lowi was most recently associated with RBC Capital Markets, LLC (“RBC”) (CRD# 31194) (2009-2015), and most recently, Janney Montgomery Scott LLC (“Janney Montgomery”) (CRD# 463) (2015-2016). [read post]
8 Nov 2017, 4:47 am
According to BrokerCheck records financial advisor Christopher Sinkula (Sinkula), currently associated with Janney Montgomery Scott LLC (JMS), has been subject to seven customer complaints. [read post]
13 Aug 2018, 7:58 am
His last employer was Janney Montgomery Scott, LLC (CRD #463) of Hackensack, NJ, from 03/02/2007 to 06/13/2017. [read post]
4 Oct 2007, 12:18 am
The criminal case involves charges filed for securities fraud conspiracy and other charges against stock-loan traders at Janney Montgomery Scott LLC and Morgan Stanley, including Anthony Lupo, Peter Sherlock, Donato Tramontozzi, Craig DeMizio, and Andrew Caccioppoli. [read post]
25 Apr 2016, 3:47 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2015, FINRA member firm Claimant Janney Montgomery Scott LLC sought to recover the balance on two promissory notes dated April 20, 2014, and May 16, 2014, from former associated person Respondent Kelleher. [read post]
20 Jun 2019, 9:19 am
Advisor Craig Sherrer (Sherrer), currently employed by Janney Montgomery Scott LLC (Janney Montgomery) and formerly with Newbridge Securities Corporation (Newbridge Securities) has been subject to at least one customer complaint during the course of his career. [read post]
24 Mar 2020, 6:35 am
According to BrokerCheck records, Cahill is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Janney Montgomery Scott LLC (Janney). [read post]
14 Apr 2020, 7:28 am
., Janney Montgomery Scott, Radnor, PA Advisor Charles Euler Jr. [read post]
22 Jan 2019, 8:00 am
Christopher David Sinkula (CRD #2001512) is a currently registered broker and investment advisor who is currently employed with Janney Montgomery Scott LLC (CRD #463) of Stuart, FL. [read post]
13 Feb 2017, 6:20 am
Since March 2007, Palmer has been associated with Janney Montgomery Scott LLC out of the firms Hackensack, New Jersey office location. [read post]
13 Feb 2017, 6:20 am
Since March 2007, Palmer has been associated with Janney Montgomery Scott LLC out of the firms Hackensack, New Jersey office location. [read post]
30 Oct 2015, 2:04 pm
– $2.9 million in restitution Janney Montgomery Scott, LLC – $1.2 million in restitution AXA Advisors, LLC – $600,000 in restitution Stephens Inc. [read post]
9 Jul 2009, 5:13 pm
Janney Montgomery Scott LLC v. [read post]
