Search for: "JP Morgan Securities LLC"
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16 Dec 2009, 5:18 am
Kelvin Koma, a former financial adviser with JP Morgan Chase Bank, has been barred from associating with any member of the Financial Industry Regulatory Authority (FINRA). [read post]
9 Oct 2020, 10:28 am
Morgan Securities LLC (collectively, JPM). [read post]
3 Sep 2020, 8:21 am
Cindy Fuzie Morgan Stanley MML Investors Services, LLC Michael Garris Wells Fargo Clearing Services, LLC Morgan Stanley Smith Barney Rajesh Gupta Morgan Stanley Smith Barney JP Morgan Securities LLC James McEnerney, Jr. [read post]
18 Nov 2009, 1:45 pm
Since 2008, state securities regulators have secured deals with banks including Citigroup, Merrill Lynch, Goldman Sachs, Deutsche Bank, Wachovia, JP Morgan, Morgan Stanley, UBS and TD Ameritrade. [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]
16 Sep 2008, 9:03 pm
Credit Suisse's settlement follows on the heels of earlier settlements made by the regulators with UBS, Citigroup, JP Morgan, Morgan Stanley, Merrill Lynch, Goldman Sachs, Wachovia, Fidelity, Deutsche Bank and Bank of America. [read post]
26 Sep 2015, 4:37 am
Morgan Securities LLC. [read post]
17 Mar 2008, 12:44 pm
Four days later it was sold to JP. [read post]
26 Nov 2019, 7:02 am
AXA Advisors LLC The Equitable Lie Assurance Society of the United States Su, Zachary JP Morgan Securities World Financial Group Uwechue, Anthony JP Morgan Securities Chase Investment Serivces Wright, Tiana Northwestern Mutual Investment Services 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 … [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]
15 Aug 2008, 9:10 pm
Wachovia's settlement follows on the heels of earlier settlements made by the regulators with UBS, Citigroup, JP Morgan, and Morgan Stanley. [read post]
9 Sep 2008, 3:22 pm
Specifically, regulators announced settlements, in principle, with UBS, Citigroup, Merrill Lynch, Morgan Stanley, Wachovia, Goldman Sachs, JP Morgan and Deutsche Bank. [read post]
3 Sep 2008, 10:15 pm
It is expected that both regulators are demanding that Bank of America agree to a settlement similar to those previously agreed to by Merrill Lynch, UBS, Goldman Sachs, JP Morgan, Wachovia, Morgan Stanley, Deutsche Bank and Citigroup. [read post]
19 Sep 2008, 3:59 pm
While this is the first auction-rate securities settlement reached by FINRA, state securities regulators have previously announced auction-rate securities settlements with Citigroup, UBS, JP Morgan, Morgan Stanley, Wachovia, Merrill Lynch, Deutsche Bank, Goldman Sachs, Bank of America, and Fidelity. [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]
18 May 2022, 1:17 pm
(See: JP Morgan Securities Hit with $125 Million for Widespread Recordkeeping Failures) The SEC rep said the firm didn’t preserve the written communications, which is a violation of securities laws. [read post]
22 Nov 2013, 6:00 am
The company hired JP Morgan Securities LLC to help market the sale of its Panhandle property. [read post]
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]
8 Aug 2008, 7:22 pm
Among the other firms being investigated for inappropriate sales of auction-rate securities are the following: Morgan Stanley, Goldman Sachs, Bank of America, JP Morgan Chase, RBC, Wachovia/A.G. [read post]
