Search for: "JP Morgan Securities Inc."
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1 Jul 2019, 12:40 pm
Legend Securities, Inc Torres, John JP Morgan Securities LLC Wells Fargo Bank Whiting, David Alternative Asset Investment Mgmt. [read post]
13 May 2019, 12:01 pm
Four years ago, I commented on the then-recent announcement that Jamie Dimon, Chairman and CEO of JP Morgan Chase, was battling cancer. [read post]
10 May 2019, 5:08 am
No. 34-85828; File No. 10-234 / May 10, 2019)https://www.sec.gov/rules/other/2019/34-85828.pdfIn response to the Form 1 application of the Long-Term Stock Exchange, Inc. seeking registration as a national securities exchange, the SEC has granted the application.FINRA Arbitrators Slam JP Morgan Over Defamatory Termination (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4589/FINRA-Arbitration-Mascarenhas/It's a rare thing when our publisher Bill… [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade… [read post]
25 Apr 2019, 11:59 am
Edwards & Sons, Inc Torres, John JP Morgan Securities Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
19 Apr 2019, 5:33 am
According to FINRA Disciplinary actions for March 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities Austin, Aaron LPL Financial LLC M & T Securities, Inc Conner,… [read post]
12 Apr 2019, 8:28 am
Morgan Stanley Delaney, Glen Newbridge Securities Corp Craig Scott Capital, LLC Flaningan, Joel NYLife Securities LLC Synergy Investment Services, LLC Hovermale, Jeffrey Sovereign Legacy Securities, Inc Family Income Planning, Inc Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie … [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph Buckman, Buckman &… [read post]
12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 2019, 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 Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland… [read post]
27 Feb 2019, 7:40 am
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
30 Jan 2019, 1:06 pm
Pro-Integrity Securities Evans, Makisha Feitelnerg, Brendan United Planners Financial Services LPL Financial LLC Jimenez, Mario Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Justafort, Frantz JP Morgan Securities LLC Chase Investment Services Maddox, Nicholas TCFG Wealth Management LLC US Bancorp Investments Gustavo Madrigal-Flores… [read post]
30 Jan 2019, 1:03 pm
Edwards & Sons Uribe, Juan Wells Fargo Clearing LLC JP Morgan Securities Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company American General… [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC… [read post]
18 Dec 2018, 11:03 am
Frantz Justafort JP Morgan Securities LLC Chase Investment Services Corp. [read post]
30 Nov 2018, 2:39 pm
Voss $1.075M in his securities fraud case against Legend Securities Inc., its ex-chief compliance officer Frank Philip Fusco, and former Legend broker Danard Warthen Brown. [read post]
2 Oct 2018, 5:48 am
Alan Garett Fidelity Brokerage Services LLC Ramon Herrera Wells Fargo Clearing Services, LLC Mandee Khu JP Morgan Securities LLC Chase Investment Services Corp John Maccoll UBS Financial Services Inc Morgan Stanley DW Inc. [read post]
2 Oct 2018, 5:40 am
According to FINRA Disciplinary actions for September 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Denise Canez John Drill Northwestern Mutual Investment Services LLC Robert Baird & Co Incorporated Glenn Grosek Citizens… [read post]
28 Sep 2018, 3:00 am
Citigroup Must Pay Over $12M Over Dark Pool Allegations To settle Securities and Exchange Commission that it misled users of a dark pool run by an affiliate , Citigroup Global Markets Inc. [read post]
