Search for: "Legend Securities, Inc."
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12 Apr 2016, 8:20 am
Since September 2010 Androulakis has been associated with Legend Securities, Inc. out of the firm’s New York, New York office location. [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, 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 Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital… [read post]
1 Jun 2018, 2:53 pm
Johnson operates under the name Legend Capital Group Inc. [read post]
4 Feb 2014, 6:15 am
Thereafter, Burstein became licensed as a registered representative of at least 15 other brokerage firms including Aura Financial Services, Inc., Pointe Capital, LLC, Legend Securities, Inc., and R.M. [read post]
13 Oct 2017, 8:05 am
According to FINRA BrokerCheck, Meyer’s registration with Legend Securities, Inc., was terminated on October 12, 2016. [read post]
2 Feb 2021, 7:41 am
His previous employers include Worden Capital Management LLC (CRD#:148366) and Legend Securities, Inc. [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 2019, 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 Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC Dalton Strategic… [read post]
27 Jul 2015, 6:39 am
Finally, Girgis is currently registered with Legend Securities, Inc. [read post]
9 Dec 2011, 2:00 am
It turns out that the offeror is the Green Bay Packers, Inc., the operator of the NFL franchise. [read post]
27 Feb 2018, 12:00 am
The SEC alleged Reynolds wrote misleading opinion letters for Mustafa David Sayid (“Sayid”), the legal counsel for Nouveau Holdings Ltd. and Striper Energy, Inc. [read post]
28 May 2019, 1:42 pm
(CRD#: 40077) and Legend Securities, Inc. [read post]
6 Aug 2019, 8:45 am
Dewaay Financial Network, LLC VSR Financial Services, Inc Freeman, Michael Spartan Capital Securities, LLC Legend Securities, Inc Fuzie, Cindy Morgan Stanley MML Investors Services, LLC Hernandez, Evelyn Morgan Stanley Chase Investment Services Barry, Jin Spartan Capital Securities, LLC Lampert Capital Markets Inc LaVolpe, Michael… [read post]
7 Dec 2016, 6:16 am
Our firm’s investment attorneys are investigating reports in a New York Times article and customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Walter Marino (Marino) currently associated with Benjamin Securities, Inc. [read post]
17 Sep 2013, 9:00 am
The SEC’s complaint alleged that 1st Global Stock Transfer LLC (“Global”), a transfer agent, and Global’s owner, Helen Bagley (collectively “Defendants”), assisted in the sale of unregistered securities for CMKM Diamonds, Inc. [read post]
6 Mar 2018, 8:02 am
Legend Securities, Inc. [read post]
4 Jun 2018, 6:30 am
Morgan Securities LLC Jonathan Richard Lake Morgan Stanley Wells Fargo Clearing Services LLC Maroof Miyana Legend Securities, Inc IAA Financial LLC Roberto Montano Waddell & Reed U.S. [read post]
1 Aug 2016, 1:21 pm
Werner was employed and licensed by Legend Securities, Inc. from December 2012 to March 2016. [read post]
11 Apr 2016, 6:01 am
Since December 2009 Misseri has been associated with Legend Securities, Inc. out of the firm’s Staten Island, New York office location. [read post]
9 Dec 2016, 5:52 pm
The North American Securities Administrators Association, Inc. [read post]
26 Nov 2019, 7:33 am
Edwards & Sons, Inc H&R Block Financial Advisors Leeuw, Nancy Leeuw, Perry PFS Investments Inc Primerica Financial Services Brian Decker Worden Capital Management LLC Legend Securities Jones, Johnnie National Securities Corporation John Thomas Financial Misseri, Bernardo Legend Securities, Inc JP Turner & Company … [read post]
