Search for: "ROTHCHILD AND ASSOCIATES LLC"
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18 Jan 2019, 9:35 am
(CRD #6694) of Garden City, NY, Wells Fargo Advisors, LLC (CRD #19616) of Melville, NY, and David Lerner Associates, Inc. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block,… [read post]
26 Apr 2012, 1:22 pm
UPDATE: On an email list, John Rothchild called our attention to Three D, LLC and Sanzone, Case No. 34-CA-12915 (NLRB ALJ Jan. 3, 2012): Spinella’s selecting the “Like” option on LaFrance’s Facebook account constituted participation in the discussion that was sufficiently meaningful as to rise to the level of concerted activity. [read post]
