Search for: "METLIFE SECURITIES, INC."
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4 Feb 2017, 8:27 am
From January 2009 until March 2010 Siegel was associated with MetLife Securities Inc. [read post]
6 Mar 2018, 8:07 am
Wells Fargo Advisors, LLC MetLife Securities Inc. [read post]
20 Mar 2014, 9:54 am
Hauser First Allied Securities, Inc.; Morris C. [read post]
6 Feb 2018, 7:36 am
Marques Alexander Green NYLife Securities LLC MetLife Securities, Inc. [read post]
14 Dec 2011, 6:34 pm
According to MetLife Inc. in June, older Americans are bilked of $2.9 billion annually by relatives, businesses, and strangers. [read post]
21 Mar 2014, 9:49 am
Hanauer & Co from 12/2008 – 09/2009, Wachovia Securities from 10/2007 – 12/2008, and Metlife Securities Inc from 06/2007 -10/2007. [read post]
12 May 2015, 3:26 pm
Inc. 902641802 UBS Yield Optimization Securities with Contingent Protection linked to McDonald’s Corp. 902641851 UBS Yield Optimization Securities with Contingent Protection linked to Schlumberger, Ltd. 902641869 UBS Yield Optimization Securities with Contingent Protection linked to Oracle Corp. 902641877 UBS Yield Optimization Securities with Contingent Protection linked to Dell Inc. 902641885 UBS Yield Optimization Securities… [read post]
13 May 2020, 11:23 am
According to BrokerCheck records, Lewis was formerly registered with FINRA member firm NYLife Securities LLC (NYLife Securities) and MetLife Securities Inc. [read post]
9 Jul 2010, 3:18 pm
Carlos Suazo of Marina del Rey, California, formerly with MetLife Securities, Inc. in Los Angeles, California, was barred from association with any FINRA member in any capacity for misusing $12,000 in customer funds that were supposed to be used to purchase a variable annuity. [read post]
14 Oct 2016, 6:37 am
According to FINRA BrokerCheck, Lappin was registered with Metlife Securities, Inc. in Tempe, Arizona from 01/2015 – 02/2015 and with New England Securities in Las Vegas, NV from 06/2011 – 01/2015. [read post]
7 Dec 2011, 2:18 pm
His FINRA broker report, publicly available from FIRNA.org, shows that from 12/2004-02/2007 he was registered with Metlife Securities Inc., from 12/2006-03/2010 he was registered with the Gunnallen Financial Inc. [read post]
16 Nov 2017, 10:33 am
Ever since handing down a $20 million fine against MetLife Securities, Inc. [read post]
12 May 2015, 3:30 pm
Inc. 90271J184 UBS Trigger Phoenix Autocallable Optimization Securities linked to Research In Motion, Ltd. 90271J176 UBS Trigger Phoenix Autocallable Optimization Securities linked to Chesapeake Energy Corp. 90271J127 UBS Trigger Phoenix Autocallable Optimization Securities linked to Citigroup 90271H873 UBS Trigger Phoenix Autocallable Optimization Securities linked to Chesapeake Energy Corp. 90271J143 UBS Trigger Phoenix Autocallable Optimization… [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 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 Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co… [read post]
19 Aug 2022, 7:33 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Eddy Chou Ameriprise Financial Services, LLC Wells Fargo Clearing Services, LLC Kara Gagnon Global Atlanticv Distributors, LLC MetLife Investors Distribution Company Johana Jimenez Igor Kislitsa PFS Investments Inc. [read post]
27 Apr 2015, 4:00 am
Associated Entities: The Guardian Insurance & Annuity Company, Inc.; Berkshire Life Insurance Company of America; Guardian Investor Services, LLC; Park Avenue Securities LLC; RS Investment Management Co. [read post]
23 May 2008, 10:07 am
Metlife, Inc., 8 N.Y.3d 359 (2007). [read post]
2 Oct 2017, 7:59 am
On September 29, 2017, the Financial Stability Oversight Council (FSOC) formally lifted its designation of American International Group, Inc. [read post]
9 Sep 2021, 10:25 am
(CRD#:14251), ELMSFORD, NY 05/09/2007 – 07/09/2007, METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095), ISELIN, NJ 05/09/2007 – 10/15/2007, METLIFE SECURITIES INC. [read post]
30 Sep 2016, 4:54 am
Santana-Díaz (the “Plaintiff”), an employee of Shell Chemical Yabucoa, Inc. [read post]
