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28 May 2021, 6:56 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Ryan Callahan State Farm VP Management Corp James Carpenter II LPL Financial LLC Edward Jones James Childress LPL Financial LLC Householder Group Financial Advisors, LLC Justyn Euan Wells Fargo Clearing Services,… [read post]
30 Apr 2021, 12:39 pm
Fidelity Investments Charitable Gift Fund (2021)).Payments for services provided by disqualified person, by means of disregarded entities, to private foundation to enable it to offer “charitable consulting” services and investment services to foundation and other charities ruled to not be acts of self-dealing because the payments are sheltered by the personal services exception (PLR 201937003). [read post]
8 Mar 2021, 12:37 pm
PFS Investments Inc. [read post]
19 Feb 2021, 7:25 am
Curt Giacobbe MML Investors Services, LLC NYLife Securities LLC Young Ju Kim Kevin Lafollette Nationwide Investment Services Corporation Paul McGonigle LPL Financial LLC SII Investments, Inc. [read post]
4 Dec 2020, 12:49 pm
Fidelity Brokerage Services LLC Ignacio Del Campo Epic Capital Securities Corp Insigneo Securities, LLC Caleb Hutzler LPL Financial LLC Northwestern Mutual Investment Services, LLC Narongdej Jaroensabphayanont Voya Financial Advisors, Inc. [read post]
23 Oct 2020, 8:55 am
Wells Fargo Clearing Services, LLC Frank Grant IV Andrew Slocum Charles Schwab & Co., Inc. [read post]
3 Sep 2020, 8:38 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Elizabeth Sollars Allstate Financial Services, LLC Junior Tonkam PFS Investments Inc. [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services, LLC … [read post]
25 Jan 2020, 12:08 pm
An expansion of a question about whether the services of a commercial fundraiser or fundraising counsel were used to also include whether the services of a commercial coventurer used? [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 Oakes, Thomas Royal Securities… [read post]
26 Nov 2019, 7:02 am
AXA Advisors LLC The Equitable Lie Assurance Society of the United States Su, Zachary JP Morgan Securities World Financial Group Uwechue, Anthony JP Morgan Securities Chase Investment Serivces Wright, Tiana Northwestern Mutual Investment Services Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
1 Jul 2019, 12:40 pm
Primerica Financial Services LaMarca, Charles Benjamin & Jerold Brokerage I, LLC Meridian Equity Partners, Inc Laveck, David MML Investors Services, LLC MSI Financial Services, Inc Won Lee, Kevin J.P. [read post]
23 May 2019, 7:36 am
PFS Investments Inc, Bishop, Tywan Charles Schwab & Co, Inc ETrade Securities LLC Conrekas, Edward J.W. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 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 Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade Securities Delaney,… [read post]
25 Apr 2019, 11:59 am
Wells Fargo Clearing Services, LLC A. [read post]
19 Apr 2019, 5:36 am
According to FINRA Disciplinary actions for March 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 Ferree, Stuart LPL Financial LLC Invest Financial Corporation Anderson, Andy LPL Financial LLC Invest Financial Andrzejewski,… [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph … [read post]
30 Jan 2019, 1:03 pm
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 Austin,… [read post]
18 Dec 2018, 11:08 am
Pace & Co, Inc Damian Serret PFS Investments Inc James Ward Northwestern Mutual Investment Services, LLC Stephen Yaworsky Raymond James Financial Services, Inc Bancwest Investment Services, Inc. [read post]
18 Dec 2018, 11:03 am
NYLIfe Securities LLC Christopher Simonds Edward Jones Kimberly Sredich Dudley Stephens Coastal Equilites, Inc Prospera Financial Services, Inc Divanna Tejeda JP Morgan Securities LLC Chase Investment Services Corp Derrick Trussell PFS Investments Inc. [read post]
