Search for: "Corps. Security Services, Inc."
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4 Aug 2019, 11:36 am
Young Permitted to Resign by Comprehensive Asset Management and Servicing, Inc. [read post]
1 Aug 2019, 9:01 am
San Francisco, California— February 15, 2002 to August 21, 2002Delta Equity Services Corporation, Bolton, Massachusetts— September 13, 1995 to February 28, 2002 Securities America, Inc., Lavista, Nebraska— November 23, 1992 to September 14, 1995First Montauk Securities Corp., Red Bank, New Jersey— February 11, 1992 to November 24, 1992World Invest Corporation, Deerfield Beach, Florida— August 14, 1990 to September 21,… [read post]
1 Aug 2019, 9:01 am
San Francisco, California— February 15, 2002 to August 21, 2002Delta Equity Services Corporation, Bolton, Massachusetts— September 13, 1995 to February 28, 2002 Securities America, Inc., Lavista, Nebraska— November 23, 1992 to September 14, 1995First Montauk Securities Corp., Red Bank, New Jersey— February 11, 1992 to November 24, 1992World Invest Corporation, Deerfield Beach, Florida— August 14, 1990 to September 21,… [read post]
31 Jul 2019, 7:02 am
Industry Developments SPOTLIGHT: Eye on Acquiring: An End to the BAMS Joint Venture; Global Payments Updates TSYS MergerDigital Transactions News – July 30, 2019 The end of Bank of America Merchant Services, a merchant-acquiring joint venture between Bank of America Corp. and First Data Corp., is at hand. [read post]
30 Jul 2019, 11:35 am
Booth has also been registered with the following firms: Cadaret, Grant & Co., Inc., Norwalk, CT— January 18, 1993 to December 8, 2005Guardian Investor Services Corporation, New York, NY— September 22, 1992 to January 28, 1993Reliastar Financial Marketing Corp., Seattle, WA— November 27, 1990 to September 22, 1992Although Booth is not currently associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction pursuant to… [read post]
30 Jul 2019, 11:35 am
Booth has also been registered with the following firms: Cadaret, Grant & Co., Inc., Norwalk, CT— January 18, 1993 to December 8, 2005Guardian Investor Services Corporation, New York, NY— September 22, 1992 to January 28, 1993Reliastar Financial Marketing Corp., Seattle, WA— November 27, 1990 to September 22, 1992Although Booth is not currently associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction pursuant to… [read post]
29 Jul 2019, 10:57 am
Parker Drilling Management Services, Ltd. v. [read post]
29 Jul 2019, 8:29 am
Pivotal Acquisition Corp. [read post]
24 Jul 2019, 3:00 am
Securities and Exchange Commission (SEC) has brought several similar suits, initiating a high-profile action against blockchain instant messaging service Kik in June for its $100 million ICO in 2017. [read post]
21 Jul 2019, 7:55 pm
Casino Rama Services Inc. [read post]
3 Jul 2019, 8:03 am
Universal Music Corp., 572 F. [read post]
1 Jul 2019, 12:46 pm
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]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 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 Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc… [read post]
1 Jul 2019, 8:58 am
Corp. [read post]
1 Jul 2019, 8:58 am
Corp. [read post]
1 Jul 2019, 8:58 am
Corp. [read post]
30 Jun 2019, 1:18 pm
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]
24 Jun 2019, 7:44 pm
John Fund Inc. v. [read post]
23 Jun 2019, 7:34 am
Year M&A+I Events (Running Listing: November 2001 – Today) eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Thomas LawrenceExterro 5-Jun-19Mindseye SolutionsReveal Data 1-May-19Phoenix Business SolutionsMorae Global… [read post]
21 Jun 2019, 12:21 pm
Flemming’s BrokerCheck record shows that she worked 30 years in the industry, including as a previously registered broker with Variable Asset Strategies, Portfolio Brokerage Services, Rocky Mountain Securities and Investments, Blinder, Robinson, & Co., Finnet Securities Inc., and also BC Financial Corporation and Venture Trading, both of which were previously expelled by FINRA. [read post]
