Search for: "JESUP & LAMONT SECURITIES CORP."
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22 Jun 2010, 2:49 pm
FINRA said that retail securities firm Jesup & Lamont Securities Corp. is out of compliance with net capital rules and ordered it to cease business. [read post]
9 Jun 2008, 8:45 am
Yerger, and analyst with Jesup & Lamont Securities Corp., compared what is happening to the information-technology book of the late 1990s. [read post]
13 Sep 2011, 5:22 am
The closing of CapWest comes on the heels of several other broker/dealer closings over private placement deals gone bad, including GunnAllen Financial, Jesup & Lamont Securities Corp. and QA3 Financial Corp. [read post]
25 May 2011, 8:05 am
Among the broker/dealers to shutter: GunnAllen Financial Inc., QA3 Financial Corp., Okoboji Financial Services, and Jesup & Lamont Securities Corp. [read post]
30 Jun 2019, 1:18 pm
Shea has spent 8 years in the securities industry with 10 different firms, and has also been registered with the following firms: Arete Wealth Management, LLC, Orinda, CA— May 20, 2016 to August 16, 2017Penserra Securities, LLC, Orinda, CA— February 11, 2015 to April 4, 2016Gordian Investments, LLC, Orinda, CA— September 24, 2012 to September 30, 2014Internet Securities, San Francisco, CA— March 23, 2012 to September 4, 2012 White Pacific… [read post]
26 May 2011, 12:18 pm
Among the broker/dealers that have shuttered: Cullum & Burks Securities Inc., Securities Network, GunnAllen Financial, QA3 Financial Corp. and Jesup & Lamont Securities Corp., among others. [read post]
6 Feb 2014, 1:40 pm
Babiarz previously worked with Capitol Securities Management and Jesup & Lamont Securities Corp. [read post]
29 Nov 2007, 8:36 am
Lustig is a broker at Jesup & Lamont Securities Corp. [read post]
13 Jul 2018, 7:16 am
From August 2009 to July 2010, Arrieta was registered with Jesup & Lamont Securities Corp, which has been expelled by FINRA. [read post]
5 Jul 2010, 6:27 am
Stifel Nicolaus & Co.), Jesup & Lamont Securities Corp., Jeffries & Company, Inc., Raymond James & Associates, Inc., and Robert W. [read post]
29 Jun 2010, 1:47 pm
LLC $11,600,000 - Jesup andamp; Lamont Securities Corp. $100,000 $13,500 Kaiser andamp; Co. $100,000 $160,650 Lighthouse Capital Corp. $250,000 $33,750 Main Street Securities LLC $205,000 $45,450 Matheson Securities LLC $100,000 $37,800 Milkie Ferguson Investments Inc. $4,145,000 $480,350 Morrow Wealth Management $30,000 - National Securities Corp. $3,665,000 $437,250 Newbridge Securities… [read post]
4 Jan 2011, 7:32 am
LLC $11,600,000 - Jesup & Lamont Securities Corp [read post]
3 Jan 2011, 11:24 am
Several months later, Jesup & Lamont Securities Corp. followed suit. [read post]
24 Dec 2019, 10:49 am
His previous employers include National Securities Corporation (CRD#:7569), also of Boca Raton, Fl, Jesup & Lamont Securities CORP (CRD#:39056, expelled by FINRA on 11/04/2010), and Wachovia Securities, LLC (CRD#:19616), both of Fort Lauderdale, FL. [read post]
5 Feb 2016, 6:15 am
One such issuance is Adageo Energy Partners, LP which according to SEC filings sought to raise $50 million and raised at least $31 million of that amount through brokerage firms including Direct Capital Securities, Inc., Madison Avenue Securities, Inc., WFP Securities, Inc., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset Financial Services, Inc., Jesup… [read post]
5 Jul 2010, 1:55 pm
Jesup & Lamont Securities Corp. - The broker/dealer closed its doors in June 2010 after failing to meet FINRA’s net-capital requirements. [read post]
20 Oct 2011, 7:17 am
Data compiled from the Providentand#39;s liquidating trustee web site as well as FINRA public disclosures shows the following firms have exited the brokerage business in the lastandnbsp;few years.andnbsp; Name of Companyandnbsp;and date of withdrawal Workman Securities Corp. - 10/1/2011 United Equity Securities LLC - 10/1/2011 Boogie Investment Group Inc. - 9/1/2011 WFP Securities Corp. - 8/1/2011 Investlinc Securities LLC/Meadowbrook… [read post]
27 Oct 2011, 12:30 pm
• Jesup & Lamont Securities Corp. [read post]
