Search for: "Legent Clearing, LLC" Results 1 - 4 of 4
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JP Turner & Co., Legent Clearing, LLC, Park Financial Group Inc. & Four Individuals to Pay More than $1.25 Million in FINRA Fines for Alleged Penny Stock Violations
18 Jun 2009, 7:39 am
., and Legent Clearing LLC of inadequate anti-money laundering procedures. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
Court Rules for Whistleblower Who Made Internal Report of Alleged Financial Violations
19 Mar 2015, 3:58 pm
COR Clearing, LLC, 20 F.Supp.3d 719 (D. [read post]
The New Jersey Employment Law Firm Blog - http://www.thenjemploymentlawfirmblog.com/
Three Broker Firms Settle FINRA Charges of Inadequate AML Compliance Programs
5 Jun 2009, 6:49 am
FINRA announced that it fined three broker-dealers â€â [read post]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/
To reconcile inconsistency, court disregards statutory definition of whistleblower
28 May 2014, 6:14 am by Joy Waltemath
The employee alleged that she was fired from her job as an accountant with Legent Clearing, LLC, a wholly owned subsidiary of COR Clearing, LLC, for internally reporting violations of FINRA rules and federal securities laws, including anti-money-laundering provisions and the Bank Secrecy Act of 1970. [read post]
WKL&B WOrkDay Blog - http://www.employmentlawdaily.com/index.php/blog