Search for: "Sammons Securities Company LLC"
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26 Dec 2014, 4:21 am
This post continues our exploration of the Financial Industry Regulatory Authority’s (FINRA) acceptance, waiver, and consent action (AWC) that sanctioned brokerage firm Sammons Securities Company, LLC (Sammons) over allegations that Sammons failed to establish and maintain a system of supervision to comply with the securities laws. [read post]
25 Dec 2014, 4:20 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Sammons Securities Company, LLC (Sammons) over allegations that Sammons failed to establish and maintain a system of supervision that is reasonably designed to achieve compliance with securities laws. [read post]
1 Feb 2019, 9:22 am
(CRD #18557), also of Weston, WV, Sammons Securities Company, LLC (CRD #115368) of Ann Arbor, MI, and Edward Jones (CRD #250) of St. [read post]
21 Mar 2016, 8:54 am
According to public disclosures, brokerage firms that sell Bradford oil and gas interests include Centarus Financial Inc., Commonwealth Financial Network, Sigma Financial Corporation, Sammons Securities, Madison Avenue Securities, Inc, M Financial Holdings Securities, Inc., Lincoln Investment Planning, Berthel Fsher & Company Financial Services Inc., Kalos Capital, Inc., G.F. [read post]
10 Nov 2021, 6:25 am
(CRD#:18557), WESTON, WV11/05/2003 – 03/24/2005, SAMMONS SECURITIES COMPANY, LLC (CRD#:115368), ANN ARBOR, MI11/21/2000 – 11/03/2003, EDWARD JONES (CRD#:250), ST. [read post]
10 Nov 2021, 6:25 am
(CRD#:18557), WESTON, WV11/05/2003 – 03/24/2005, SAMMONS SECURITIES COMPANY, LLC (CRD#:115368), ANN ARBOR, MI11/21/2000 – 11/03/2003, EDWARD JONES (CRD#:250), ST. [read post]
9 Feb 2016, 9:09 am
From June 2006 until January 2011, McPherson was associated with Sammons Securities Company, LLC. [read post]
4 Apr 2011, 9:02 am
(Shut down in May 2010) $189,000 Sammons Securities Co. [read post]
26 Oct 2015, 7:16 am
From December 2002, until December 2008, Wegner was a registered representative with Sammons Securities Company, LLC. [read post]
16 Dec 2010, 8:46 am
(Shut down in May 2010) $189,000 Sammons Securities Co. [read post]
