Search for: "National Association Of Securities Dealers, Inc."
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12 Aug 2019, 11:27 am
Most recently, from 2017 to 2018, he was associated with Center Street Securities, Inc., according to the order. [read post]
8 Aug 2019, 12:07 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
6 Aug 2019, 12:11 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
6 Aug 2019, 8:31 am
Securities Investigation The White Law Group is investigating potential claims involving broker dealers who may have unsuitably recommended CBL & Associates Properties, Inc. to investors. [read post]
3 Jul 2019, 1:10 pm
With 12 years in the industry, Vungarala, previous to working as a registered broker for Purshe Kaplan, was a registered broker with American General Securities Inc. [read post]
28 Jun 2019, 11:53 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
18 Jun 2019, 2:34 pm
Aside from Windsor Street Capital, Aquino has been a registered representative at Spartan Capital Securities, John Carris Investments, John Thomas Financial, Rockwell Global Capital, National Securities Corporation, JP Turner & Company, Bank of America Investment Services, Avalon Partners, Inc., and four other firms. [read post]
28 May 2019, 1:42 pm
(CRD#: 40077) and Legend Securities, Inc. [read post]
20 May 2019, 10:42 am
Inc. [read post]
25 Apr 2019, 9:56 am
Broker dealers are required to inform clients of the risks associated with investment recommendations. [read post]
18 Apr 2019, 7:52 am
According to a press announcement, on April 18, 2019, the Securities and Exchange Commission charged Kimberly Sredich, a Michigan resident, with allegedly stealing money from elderly brokerage customers of a registered broker-dealer with which she was associated. [read post]
9 Apr 2019, 7:17 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
25 Mar 2019, 9:15 am
Silver Law Group, a nationally recognized securities and investment fraud law firm, is investigating broker-dealers and brokers that sold GPB to their clients. [read post]
5 Mar 2019, 10:03 am
MSC – BD LLC National Securities Corp. [read post]
20 Feb 2019, 8:07 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
6 Feb 2019, 7:26 am
Khanna as the "Stop WALMART Act") would have denied a large company the ability to repurchase its stock on a national securities exchange during a fiscal year in which the company violated terms of the legislation. [read post]
30 Jan 2019, 3:23 pm
If a platform meets the definition of an “exchange” under the federal securities laws, it must register as a “national securities exchange” or operate under an exemption, such as the one available in Regulation ATS requiring registration as a broker-dealer. [read post]
4 Jan 2019, 12:32 pm
Cione has one previous regulatory disclosure from 1990, issued by the National Association Of Securities Dealers, Inc. [read post]
17 Dec 2018, 3:14 pm
Specifically, the SEC alleged that Mayweather failed to disclose promotional payments from three ICO issuers, including $100,000 from Centra Tech, Inc. [read post]
13 Nov 2018, 7:54 am
The post Corporate Property Associates 18 – Global Inc. appeared first on White Securities Law. [read post]
