Search for: "National Association Of Securities Dealers, Inc."
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22 Nov 2011, 5:35 pm
If the federal court approves the proposed judgment, an administrative proceeding will suspend Merk for 12 months from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any penny stock offering, the complaint said. *** If you have been the victim of securities fraud you should consult with… [read post]
11 Jan 2012, 1:15 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [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]
3 Sep 2020, 7:51 am
National Securities Corporation Paula Collins TIAA-CREF Individual & Institutional Services, LLC Oppenheimerfunds Distributor, Inc. [read post]
7 Dec 2015, 4:18 pm
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]
22 Nov 2021, 2:02 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [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]
31 Mar 2017, 6:34 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 Jul 2017, 8:24 am
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 Vero Beach, Florida. [read post]
31 Jan 2024, 11:31 am
National Securities Attorneys The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [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]
19 Dec 2019, 8:32 am
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]
17 Jan 2020, 8:39 am
According to public records on FINRA’s website, the Securities and Exchange Commission has barred Perrillo as of September 23, 2019 from working as a broker or investment advisor or otherwise associating with any securities broker dealer or investment advisor. [read post]
16 May 2023, 9:18 am
This rule requires broker-dealer firms to establish and maintain a system to supervise the activities of their associated persons (e.g., brokers) to ensure that they comply with securities laws and regulations. [read post]
19 Apr 2024, 1:43 pm
Michael Capolongo Network 1 Financial Securities Inc. [read post]
11 Sep 2020, 11:42 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]
21 May 2007, 9:04 pm
After years of complaints, efforts by attorneys representing investors and pressure by some consumer-friendly legislators, the National Association of Securities Dealers, Inc. [read post]
5 Mar 2007, 9:46 am
There are thousands of small companies in the financial sector, for example, that are affected by regulations such as Sarbanes-Oxley, SEC and National Association of Securities Dealers (NASD). [read post]
7 Oct 2011, 9:01 am
In December 2009, FINRA permanently barred Hammonds from any association with any FINRA member in any capacity for violations of Section 10(b) and 10(b)(5) of the Securities Exchange Act of 1934 and National Association of Securities Dealers Rules 2110, 2120 and 2330. [read post]
28 May 2021, 12:19 pm
Ameriprise Financial Services, Inc. [read post]
