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8 Jan 2013, 6:31 am
Graves was registered with FINRA registered members during much of the relevant time period, including having worked at Questar Capital Corporation from March 2005 through May 2008, Fintegra, LLC from May 2008 through August 2009, Community Bankers Securities, LLC from August 2009 through December 2009, and Harrison Douglas, Inc. from February 2010 through June 2010. [read post]
24 Jan 2012, 6:47 am
The White Law Group, LLC is a national securities fraud, securities arbitration, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
4 Dec 2017, 5:57 am
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. [read post]
15 Mar 2017, 11:05 am
Bauer was registered with Waddell & Reed, Inc. in Pittsburgh, PA from 10/19/2004 – 10/23/2013. [read post]
3 Nov 2016, 7:20 am
FINRA stated that L-share annuities could pay greater compensation to the firms and registered representatives than more traditional share classes. [read post]
17 Mar 2017, 1:59 pm
According to FINRA, Hobson was registered with Oppenheimer & Co. in Providence, RI from 04/2010 – 05/2016. [read post]
9 Nov 2016, 8:46 am
According to FINRA Broker Check, Shermeta has been registered with Northland Securities, Inc. in Minneapolis, MN since 11/2011. [read post]
17 Mar 2017, 9:12 am
He has been registered with eight different firms prior to his employment with Waddell & Reed in 2013. [read post]
21 May 2013, 11:20 am
In 2008, vFinance acted as the private placement agent for Perf Go-Green Holdings (PGOG). [read post]
23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New Hampshire in 2012. [read post]
24 Aug 2017, 6:27 am
,” an entity for which Camarco is the sole registered agent and which shares an address with her office. [read post]
12 Jun 2012, 3:30 am
Click here to Register online. [read post]
24 Feb 2019, 4:00 am
Price Security Holdings Inc. v. [read post]
3 Aug 2020, 1:07 pm
The commissions the agents earned were paid to the company. [read post]
6 Nov 2023, 11:00 am
(CRD#:15296), Southfield, MIB, 07/31/2003 – 09/08/2016, VALIC FINANCIAL ADVISORS, INC. [read post]
11 Aug 2011, 5:20 pm
©2011 Amaxx Risk Solutions, Inc. [read post]
19 Oct 2015, 12:31 pm
In contrast, Defendant asked the Southern District of Indiana to dismiss the lawsuit for lack of personal jurisdiction, asserting via a declaration of one of its corporate officers that it "does not own, lease, occupy, or use any real or personal property in Indiana[,] . . . maintain an office in Indiana, maintain a registered agent in Indiana, maintain a bank account in Indiana, or pay taxes in Indiana" and that its "website and Facebook page do not specifically… [read post]
19 Sep 2018, 7:19 am
Romer’s customers reportedly believed that CoreCap Solutions and P&R Capital were affiliated with his former employer, CoreCap Investments Inc. [read post]
12 Sep 2011, 11:03 am
Telecom Inc.” registered it. [read post]
28 Apr 2013, 10:39 pm
Naren Thappeta, whose name had been removed from the patent agent register because he had accepted U.S. [read post]
