Search for: "Sterne, Agee"
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20 Apr 2019, 1:42 pm
Benjamin Bourgeois has 4 disclosures on his FINRA BrokerCheck Report, and has 27 years in the securities industry with 9 firms, including the following: Commonwealth Financial Network, Metairie, LA— May 29, 2015 to April 1, 2019 LPL Financial LLC, Metairie, LA— March 7, 2014 to June 5, 2015 Sterne, Agee & Leach, Inc., New Orleans, LA— May 14, 2009 to March 11, 2014 FB Investments, Inc, Harvey, LA— April 6, 2001 to May 21, 2009 Finally, it is… [read post]
16 Apr 2019, 2:41 pm
Equity Sales Company, Collegeville, PA— March 14, 2014 to September 6, 2017 Sterne Agee Financial Services, Inc., Jeffersonville, PA— May 15, 2002 to March 26, 2014 Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated. [read post]
22 Mar 2019, 6:09 am
In a recent FINRA public customer arbitration, the Panel split 2:1 in favor of the customer and against FINRA member firm Sterne, Agee & Leach, Inc. [read post]
31 May 2018, 6:45 am
Dean Mustaphalli was previously registered with Citigroup Global Markets in Jamaica, New York from May 2007 until December 2009, and Sterne Agee Financial Services in Forest Hills, New York from December 2009 until September 2011. [read post]
5 Feb 2018, 3:01 am
Sterne Agee Broker's IPO Trading In Away Account Earns FINRA Sanctions (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3815/sterne-agee-ipo/Word has it that there's been a surge in initial public offerings. [read post]
5 Feb 2018, 2:59 am
Word has it that there's been a surge in initial public offerings. [read post]
9 Jan 2018, 10:52 am
Boudreaux was previously registered with Dean Witter Reynolds, PFS Investments, Sterne, Agee & Leach, Fixed Income Securities, Coastal Securities, Merrill Lynch and Sunbelt Securities. [read post]
8 Jan 2018, 8:14 am
Boudreaux has been in the securities industry for 8 years and has been registered with 8 firms including Sunbelt Securities, Merrill Lynch, Coastal Securities, Fixed Income Securities, Sterne, Agee & Leach, PFS Investments, Dean Witter Reynolds and most recently, Independent Financial Group. [read post]
27 Dec 2017, 7:36 am
Previous registrations include Sterne Agee & Leach, Securities America, Inc., and FSC Securities Corporation. [read post]
9 Aug 2017, 11:42 am
Sterne Agee & Leach Inc. [read post]
27 Jun 2017, 7:18 am
The claim was brought against brokerage firms Sterne Agee Financial Services, Inc. [read post]
21 Jun 2017, 11:23 am
FINRA Fines Sterne Agee Financial Services for Compliance Issues According to FINRA, Sterne Agee Financial Services (CRD #18456, Birmingham, Alabama) submitted an AWC in which the firm was censured and fined $122,500. [read post]
21 Jun 2017, 11:23 am
FINRA Fines Sterne Agee Financial Services for Compliance Issues According to FINRA, Sterne Agee Financial Services (CRD #18456, Birmingham, Alabama) submitted an AWC in which the firm was censured and fined $122,500. [read post]
19 Jun 2017, 11:36 am
From 2002 until March 2014, Wesselt was associated with Sterne Agee Financial Services, Inc. [read post]
2 Jun 2017, 6:28 am
New York – Ex-Sterne Agee Executive Admits to N.Y. [read post]
1 Jun 2017, 6:15 am
Lawmaker Often Helped His Business, Family” by Andrea Estes for Boston Globe New York: “Ex-Sterne Agee Executive Admits to N.Y. [read post]
30 Mar 2017, 1:06 pm
” As per FINRA records, she was registered with Sterne, Agee & Leach Inc.in 2014 and subsequently with Stifel, Nicolaus & Co. [read post]
14 Jan 2017, 6:49 am
The claim was brought against brokerage firms Sterne Agee Financial Services, Inc. [read post]
11 Jul 2016, 2:17 pm
Malecki Law’s team of investment attorneys are interested in hearing from investors who have complaints regarding Wisconsin-based Sterne Agee Financial Advisor Chad Karl. [read post]
13 Jun 2016, 6:41 am
From January 2010 until August 2011, Foote was registered with Sterne Agee Financial Services, Inc. [read post]
