Search for: "Questar Capital Corporation"
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2 Apr 2025, 6:16 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Perry Santillo (Santillo), previously associated with Questar Capital Corporation, has at least one disclosable event. [read post]
15 Feb 2016, 11:29 am
The investment fraud lawyers of Gana LLP are investigating regulatory complaints and the termination by Questar Capital Corporation (Questar) of broker Kevin Wanner (Wanner). [read post]
8 Oct 2017, 7:03 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Adam Veron (Veron), in February 2017, was terminated by his then employer Questar Capital Corporation (Questar). [read post]
25 Sep 2018, 7:35 am
(Capital Financial) and Questar Capital Corporation (Questar) broker Steven Knuttila (Knuttila) has been subject to at least 25 customer complaints, one employment terminations for cause, and two regulatory actions. [read post]
30 Nov 2012, 9:00 am
Russell of The United States District Court, WesternDistrict of Kentucky, issued a 60-page Opinion denying a Petition to Vacate and a Motion to Vacate filed by Questar Capital Corporation. [read post]
29 May 2017, 9:25 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against current Questar Capital Corporation (Questar) broker Stephen Swarbrick (Swarbrick). [read post]
14 Aug 2017, 11:40 am
Kevin Wanner barred over CD sales In January, 2016 FINRA barred broker Kevin Wanner formerly of Questar Capital Corporation and Woodbury Financial for his role in brokering certificates of deposit and selling unregistered securities. [read post]
17 Jul 2017, 12:43 pm
During November 2016, Zito was discharged from Questar Capital Corporation (Questar) for allegedly violating the firm’s rules and regulations in relation to unauthorized use of discretion of mutual funds. [read post]
8 Apr 2021, 2:56 pm
Olave or Questar Capital Corporation. [read post]
9 Nov 2015, 7:21 am
” FINRA’s investigation appears to stem from Mohlman’s termination from Questar Capital Corporation (Questar Capital) in February 2015. [read post]
25 Sep 2022, 10:51 am
From August 2010 through February 2011, Nowak was registered with Questar Captial Corporation. [read post]
5 Mar 2020, 8:28 am
In March 2015, Mohlman’s then-employer, Questar Capital Corporation, terminated his registration and filed a Form U5 claiming that Mohlman “resigned while under internal review for failure to follow firm policies and procedures regarding his participation in private securities transactions. [read post]
27 Dec 2021, 7:12 am
Questar Capital Corporation Gaetano Magarelli Newbridge Securities Corporation Ameriprise Financial Services, Inc. [read post]
26 Aug 2015, 7:56 am
From 2000, until July 2006, Kosanke was registered with Questar Capital Corporation. [read post]
10 Jan 2012, 2:46 pm
In 2009, FINRA found that Questar Capital Corporation included misleading information on John Saldutte’s U-5 after terminating him as a registered rep. [read post]
15 Sep 2013, 11:04 am
Thereafter, from December 2006 until July 2007, Saviano was a registered representative of Questar Capital Corporation. [read post]
29 Sep 2019, 5:32 am
From December 2006 to December 2018, Crane was associated with Questar Capital Corporation. [read post]
6 Oct 2018, 10:08 am
From December 2006 until August 2017 Michna was associated with Questar Capital Corporation. [read post]
4 Apr 2016, 10:30 am
From September 2013 until July 2014, Hayne was registered with Questar Capital Corporation. [read post]
4 Apr 2011, 9:02 am
$3,632,000 The Private Consulting Group (Closed March 2009) $3,580,000 Questar Capital Corp [read post]
