Search for: "Fidelis Recovery Management, LLC"
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7 Jun 2024, 6:44 am
American Research & Management Company Leonardo Hernandez III Citigroup Global Markets Inc. [read post]
19 Apr 2024, 1:23 pm
Riley Wealth Management Raymond James & Associates, Inc. [read post]
27 Dec 2023, 8:45 am
Kevin Springstead Craft Capital Management LLC Arive Capital Markets Terry Tzagarakis Arive Capital Markets Worden Capital Management LLC Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
26 Oct 2023, 8:53 am
Morgan Securities LLC Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Baquero Spartan Capital Securities, LLC Eduardo Martinez National Securities Corporation PHX Financial, Inc. [read post]
25 Oct 2023, 12:49 pm
Joseph Desapio Spartan Capital Securities, LLC Worden Capital Management LLC DeVere Dudley Raymond James Financial Services, Inc. [read post]
5 May 2023, 7:48 am
Richard Logalbo Cetera Investment Services LLC MML Investors Services, LLC Harold Ramsey Paulson Investment Company LLC Spartan Capital Securities, LLC Michael Rosalia SW Financial Worden Capital Management LLC Dana Vietor CFD Investments, Inc. [read post]
14 Apr 2023, 9:58 am
According to FINRA Disciplinary actions for March 2023, 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 John Carroll Vanderbilt Securities, LLC National Securities Corporation Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all… [read post]
3 Apr 2023, 4:53 am
Separately, and without David’s involvement, Ray formed Aley Restaurant Management, Inc. [read post]
28 Feb 2023, 7:41 am
Raymond James Financial Services David Weigel PBC Capital Markets, LLC Morgan Stanley Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
30 Dec 2022, 8:04 am
According to FINRA Disciplinary actions for December 2022, 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 Christ Baltas Worden Capital Management LLC Wilmington Capital Securities, LLC Matthew Beaver Grit Wealth Management, LLC Ameriprise Financial Services, Inc. [read post]
1 Dec 2022, 7:23 am
David Weigel Weigel Fiduciary Aset Management LLC RBC Capital Markets, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
22 Sep 2022, 9:23 am
Worden Capital Management LLC Steven Wyatt Morgan Stanley Smith Barney Morgan Stanley & Co, Incorporated Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
25 Jul 2022, 4:47 am
(The BCL § 623 (k) exception has been held inapplicable to LLC mergers, in which the cashed-out member’s sole remedy, without exception other than noncompliance with the operating agreement or LLC Law, is a fair value appraisal proceeding.) [read post]
5 Jul 2022, 9:04 am
James Shelburne Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
1 Jun 2022, 8:31 am
Aleksandr Osaulenko First Standard Financial Company LLC Alexander Capital, LP Yousuf Saljooki Worden Capital Management LLC Salomon Whitney Financial Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
2 May 2022, 2:10 pm
John Agostino LPL Financial LLC Wells Fargo Advisors LLC Adam Schachter PM Wealth Management LLC LPL Financial LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
27 Apr 2022, 12:56 pm
According to FINRA Disciplinary actions for March 2022, 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 Joseph Likens LPL Financial LLC Cornerstone Wealth Management, LLC Guy Newman GVC Capital LLC Bathgate Capital Partners LLC John Santariello Arive Capital Markets … [read post]
19 Apr 2022, 5:05 am
.); Patients when choosing to buy or lease or order things paid for by health insurance; Procurement Staff/Management when choosing what supplies to buy, lease, or order for organizations; and, Marketing/Advertising/Sales – Anyone in a position to encourage the buying, leasing, ordering of things paid for by health insurance. [read post]
22 Feb 2022, 1:23 pm
According to FINRA Disciplinary actions for February 2022, 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 Christ Baltas Worden Capital Management LLC Wilmington Capital Securities, LLC Timothy Flynn Trident Partners Ltd. [read post]
24 Jan 2022, 1:43 pm
Jared Poe Morgan Stanley Smith Barney Morgan Stanley & Co Incorporated Yousuf Salijooki Wordon Capital Management LLC Salomon Whitney Financial Dudley Stephens Coastal Equities, Inc. [read post]
