Search for: "SII Investments, Inc." Results 1 - 20 of 28
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30 Nov 2017, 3:46 pm by Christopher J. Gray
As recently reported, on September 20, 2017, the Enforcement Section of the Massachusetts Securities Division (the “Division”) filed an Administrative Complaint (“Complaint”) against SII Investments, Inc. [read post]
14 Sep 2018, 3:33 pm by InvestorLawyers
Brokerage firm SII Investments, Inc. has been ordered by Massachusetts Secretary of the Commonwealth William Galvin to refund money back to clients who were sold non-traded REITs by SII. [read post]
3 Aug 2018, 6:49 am by Staff Attorney
  According to BrokerCheck records, in December 2017, Cuenca was terminated by SII Investments, Inc. [read post]
10 Sep 2018, 11:18 am by Renae Lloyd
SII Investments to Pay Restitution to Investors According to a consent order, the Massachusetts Securities Division has ordered SII Investments Inc., to pay restitution to certain Massachusetts residents for improper REIT sales. [read post]
3 Oct 2018, 2:40 pm by ccollins
SII Investments to Pay Back Clients Over Nontraded REITs Massachusetts Secretary of the Commonwealth William Galvin is ordering SII Investments Inc. to repay clients who purchased nontraded real estate investment trusts through the independent brokerage firm. [read post]
4 Nov 2014, 6:23 am by Adam Weinstein
According to InvestmentNews, recently several brokerage firms including Securities America Inc., with 1,772 registered reps and advisers, and the four National Planning Holdings Inc. firms with 3,954 registered reps and advisers including INVEST Financial Corp., Investment Centers of America Inc., National Planning Corp., and SII Investments Inc., announced that they are temporarily suspending some or all of the non-traded real… [read post]
17 Jan 2019, 7:28 am by Silver Law Group
His previous employers include Princor Financial Services Corporation (CRD #1137) of Neenah, WI, Gunnallen Financial, Inc (CRD #17609) and Sii Investments, Inc. [read post]
16 Oct 2017, 11:17 am by Adam Weinstein
  Newsholme’s problems began back in July 2014 when he was terminated by his then employer SII Investments, Inc. [read post]
17 Apr 2020, 7:55 am by Staff Attorney
In 2007 Labelle was terminated by SII Investments, Inc. for failing to follow the firm’s policies concerning his advertising practices. [read post]
11 Feb 2020, 7:31 am by Staff Attorney
  From September 1997 until August 2015 Sines was registered with SII Investments, Inc. [read post]
5 Oct 2022, 1:13 pm by Staff Attorney
  From 2005 through November 2014, Barancyk was registered with SII Investments, Inc. [read post]
18 Sep 2019, 1:36 pm by Staff Attorney
  From June 2007 to November 2017, Mauro was registered with SII Investments, Inc. [read post]
16 Sep 2014, 7:15 am by Adam Weinstein
On or about November 21, 2002, Edward Jones fired Diaz for providing inaccurate information during a supervisory review, was terminated by Raymond James Financial Services, Inc. because it was “no longer comfortable supervising”, was permitted to resign on April 1, 2009, by First Allied Securities, Inc. because he had a history of customer complaints and administrative infractions., was fired by SII Investments, Inc. for unauthorized trading,… [read post]
24 Jun 2014, 5:57 am by Adam Weinstein
Tarr was also associated with SII Investment, Inc., from July 2010 until November 2012. [read post]
13 Apr 2018, 8:14 am by Renae Lloyd
According to his BrokerCheck Report, Newsholme was registered with SII Investments Inc. in Matawan, NJ from December 2008 until July 2014 when he was fired. [read post]