Search for: "Fidelity Brokerage Services, LLC" Results 21 - 40 of 91
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21 May 2020, 7:12 am by Silver Law Group
According to FINRA Disciplinary actions for February 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   DiLiberto, Jesse   Fidelity Brokerage Services   Wilmington Capital Securities, LLC   Fry, Stephen   Woodbury Financial… [read post]
6 Mar 2020, 1:30 am
Fidelity Brokerage Services LLC, Respondent (FINRA Arbitration Decision)... [read post]
23 Dec 2019, 1:40 pm by Silver Law Group
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules NAME FORMER EMPLOYERS   DiLiberto, Jesse   Fidelity Brokerage Services LLC   Wilmington Capital Securities, LLC   Fry, Stephen  … [read post]
26 Nov 2019, 7:23 am by Silver Law Group
  Ameriprise Financial Services   NBC Securities, Inc   Pullin, Oivia   Ryan, Stephen   MML Investors Services, LLC   NYLife Securities LLC   Sears, Vernon Jr. [read post]
24 Oct 2019, 7:00 am by Andrew Hamm
Fidelity Brokerage Services, LLC 19-347Issues: Whether the Bank Secrecy Act, 31 U.S.C. [read post]
1 Jul 2019, 12:46 pm by Silver Law Group
  Morgan Keegan & Company, Inc   Avent, Meiewyn   Alliance-One Investments, LLC   Metlife Investors Distribution Company   Bougopoulkos, Nicholas   Wells Fargo Securities, LLC   Stifel Financial Corp   Cook, Marian   Farmers Financial Solutions, LLC   Corley, Robert   Fidelity Brokerage Services LLC   Redstone Securities, Inc   Detamore, Craig   Allstate Financial… [read post]
30 Jun 2019, 1:18 pm by admin
Shea has spent 8 years in the securities industry with 10 different firms, and has also been registered with the following firms: Arete Wealth Management, LLC, Orinda, CA— May 20, 2016 to August 16, 2017Penserra Securities, LLC, Orinda, CA— February 11, 2015 to April 4, 2016Gordian Investments, LLC, Orinda, CA— September 24, 2012 to September 30, 2014Internet Securities, San Francisco, CA— March 23, 2012 to September 4, 2012 White Pacific… [read post]
3 Jun 2019, 7:11 am by John Jascob
The panelists included David Forman, Chief Legal Officer, Fidelity Brokerage Services; Mark Weitjen, Managing Director, DTCC; and Neha Narula, Director, MIT Media Lab. [read post]
22 May 2019, 10:16 am by Staff Attorney
  These firms include UBS Financial Services, Merrill Lynch, Credit Suisse, and Morgan Stanley. [read post]
19 Apr 2019, 5:33 am by Silver Law Group
Insurance Agency   Guillory, Michael   Financial West Group   The Shemano Group, Inc   Hamm, Brandon   Wells Fargo Clearing Services   Hartigan, John   Entrustpermal Securities LLC   Calyon Financial Inc   Jones, Marques   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America   Merlo, Robert   Allstate Financial Services   Pruco Securities   Norris, Timothy   BMO Harris Financial… [read post]
12 Apr 2019, 8:25 am by Silver Law Group
According to FINRA Disciplinary actions for February 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Arizmendi, Jose   Silber Bennett Financial, Inc   TCFG Wealth Management, LLC   Barrick, Tabor   FBL Marketing Services, LLC… [read post]
30 Jan 2019, 1:06 pm by Silver Law Group
According to FINRA Disciplinary actions for January 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Balas, Tami   SCF Securities, Inc   Klopp Agency   Bustamante, Ricardo   JP Morgan Securities LLC   Bustamante Family Legacy, LLC  … [read post]
30 Jan 2019, 1:03 pm by Silver Law Group
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Alfaro, Jennifer   JP Morgan Securities LLC   JP Morgan Chase Bank   Austin, Aaron   LPL Financial LLC   M&T Securities, Inc… [read post]
3 Jan 2019, 5:57 am by Silver Law Group
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Barrick, Tabor   FBL Marketing Services, LLC   Allstate Financial Services, LLC   Conklin, Jeffrey   The Huntington… [read post]
18 Dec 2018, 11:03 am by Silver Law Group
According to FINRA Disciplinary actions for November 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Jose Arizmendi   Silber Bennett Financial, Inc   TCFG Wealth Management, LLC   Tani Balas   SCF Securities, Inc   Klopp Agency  … [read post]
2 Oct 2018, 5:48 am by Silver Law Group
  Alan Garett   Fidelity Brokerage Services LLC   Ramon Herrera   Wells Fargo Clearing Services, LLC   Mandee Khu   JP Morgan Securities LLC   Chase Investment Services Corp   John Maccoll   UBS Financial Services Inc   Morgan Stanley DW Inc. [read post]
28 Aug 2018, 11:12 am by Silver Law Group
Morgan Chase Bank   John Stoddard   Fidelity Brokerage Services LLC   Investools   David Wells   Yuhong Zhou   Transamerica Financial Advisors, Inc   World Financial Group, Inc FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
21 Aug 2018, 5:20 am by Silver Law Group
Securities, LLC   Robert Lee Maupin   Fidelity Brokerage Services LLC   Cuso Financial Services, L.P. [read post]
21 Aug 2018, 5:14 am by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp   Spencer Joseph Lassetter   Fidelity Brokerage Services LLC   Andrea Marie Milinkovic   PNC Investments   Suntrust Investment Services, Inc   Stephen Allen Murray   Raymond James & Associates, Inc   Morgan Keegan & Company, Inc   George James Oldoerp   H. [read post]