Search for: "PERSHING, LLC." Results 1 - 20 of 48
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16 May 2019, 8:27 am by ccollins
A Financial Industry Regulatory Authority (FINRA) panel has ordered Pershing, LLC to pay $1.4m to six investors who lost money in R. [read post]
6 Mar 2009, 11:17 am
Janvey unfreezing approximately 12,000 Stanford investor accounts held at Pershing LLC. [read post]
18 May 2012, 5:04 am by Securites Lawprof
Call For Papers "Revolution in the Regulation of Financial Advice: the US, the UK and Australia" Opening Speaker: Brian Shea, Chief Executive Officer of Pershing LLC, a BNY Mellon company Recently, Australia and the UK have been carrying out radical... [read post]
15 Apr 2011, 7:34 am by Paralegal Mentor
She is the paralegal supervisor at Pershing LLC, a subsidiary of The Bank of New York Mellon. [read post]
9 Sep 2015, 6:16 am
Last fall, Cetera reached a new pricing arrangement with Pershing, based on the larger scale from its acquired firms.The changeover to Summit is expected to be completed by the end of October.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
25 Jan 2012, 7:10 am
Numerous independent firms, Schwab Advisor Services, TD Ameritrade Institutional, Pershing Advisor Solutions LLC, Fidelity Institutional Wealth Services and Diamond Consultants LLC, saw an increase in "breakaway brokers" joining them in 2011. [read post]
13 Aug 2015, 8:17 am by D. Daxton White
According to a recent letter to shareholders, Core Realty Holding informed investors that Pershing, LLC will not maintain promissory notes, like CORE Series 2007-A 8% Secured Debentures, in retirement and non-retirement accounts. [read post]
10 Jul 2012, 7:38 am by Nissenbaum Law Group
(“Tripp”), a brokerage firm that retained the clearing services of non-party Pershing, LLC (“Pershing”) to hold the assets of Tripp’s customers in an account. [read post]
7 Jan 2016, 2:28 pm
 The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
17 Dec 2014, 8:00 am by Allison Tussey
According to documents filed in this case and statements made in court: From May 2004 through June 2008, Green was a registered representative associated with Crocker Securities, a broker dealer that used the clearing services of Pershing LLC. [read post]
1 May 2012, 10:15 am by Rebecca Tushnet
Pershing, LLC, 672 F.3d 64 (1st Cir. 2012) Katz sued Pershing, which sells brokerage-related services to broker-dealers and investment advisers, for failure to protect sensitive nonpublic personal information as a violation of contract and of consumer protection laws. [read post]
30 Dec 2016, 6:09 am
Sinkular and Julia Kennedy, Pay Governance LLC, on Thursday, December 29, 2016 Tags: Boards of Directors, Disclosure, Equity-based compensation, Executive Compensation, Firm performance, Incentives, Pay for performance, Payouts, Performance measures, Proxy disclosure, Shareholder value [read post]
27 May 2020, 2:07 pm by Malecki Law Team
On behalf of several investor clients, Malecki Law’s FINRA arbitration attorneys are currently investigating cases involving claims against Pershing, LLC, a clearing house, and its introducing brokerage firm client, Insight Securities, Inc. [read post]
17 Mar 2015, 8:28 am by Allison Tussey
According to court documents, from 2007 to 2010, the Jara brothers conspired with others to use straw buyers to purchase residential properties in Bakersfield developed by Jara Brothers Investments (JBI) and Pershing Partners LLC. [read post]