Search for: "Gunnallen Financial Inc"
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29 Jan 2014, 10:02 am
Thereafter, from 2003 through 2007, Diaz was registered with GunnAllen Financial, Inc. [read post]
4 Sep 2013, 3:14 am
GunnAllen Financial, Inc. is one of many carcasses that litter Wall Street -- a brokerage firm that crashed and burned amid allegations of misconduct and fraud by investors and regulators. [read post]
18 Jul 2012, 6:30 am
He later resigned from the board of GunnAllen. [read post]
18 Jul 2012, 6:30 am
He later resigned from the board of GunnAllen. [read post]
18 Jul 2012, 6:30 am
He later resigned from the board of GunnAllen. [read post]
7 Dec 2011, 2:18 pm
His FINRA broker report, publicly available from FIRNA.org, shows that from 12/2004-02/2007 he was registered with Metlife Securities Inc., from 12/2006-03/2010 he was registered with the Gunnallen Financial Inc. [read post]
28 Oct 2011, 5:00 am
According to the Commission, when GunnAllen Financial Inc. was winding down its business operations last year, its former president and former national sales manager violated customer privacy rules by improperly transferring customer records to another firm. [read post]
27 Oct 2011, 12:30 pm
• GunnAllen Financial Inc. [read post]
26 Oct 2011, 6:10 am
According to the Commission, when GunnAllen Financial Inc. was winding down its business operations last year, its former president and former national sales manager violated customer privacy rules by improperly transferring customer records to another firm. [read post]
20 Oct 2011, 7:17 am
Well-known broker-dealer GunnAllen Financial Inc. closed in March 2010 after failing to meet FINRAand#39;s net-capital, and Okoboji Financial Services Inc., another big name, filed forms with FINRA to exit the business in July 2010. [read post]
10 Oct 2011, 1:10 pm
May was assisted by former GunnAllen Financial stockbroker Frank Bluestein. [read post]
26 May 2011, 12:18 pm
Among the broker/dealers that have shuttered: Cullum & Burks Securities Inc., Securities Network, GunnAllen Financial, QA3 Financial Corp. and Jesup & Lamont Securities Corp., among others. [read post]
25 May 2011, 8:05 am
Among the broker/dealers to shutter: GunnAllen Financial Inc., QA3 Financial Corp., Okoboji Financial Services, and Jesup & Lamont Securities Corp. [read post]
13 Apr 2011, 9:32 am
"Nonpublic personal information" can include, among other things, the fact that an individual is or has been one of your customers or has obtained a financial product or service from you.The SEC found that while GunnAllen Financial, Inc., was winding down its business operations last year, its former president and former national sales manager violated customer privacy rules by improperly transferring customer records to another firm. [read post]
11 Apr 2011, 6:00 am
According to the Commission, when GunnAllen Financial Inc. was winding down its business operations last year, its former president and former national sales manager violated customer privacy rules by improperly transferring customer records to another firm. [read post]
10 Apr 2011, 9:11 am
On April 7 the SEC charged three former brokerage executives of GunnAllen Financial Inc. for failing to protect confidential information about their customers. [read post]
8 Apr 2011, 3:21 pm
” Regulation S-P mandates that financial firms safeguard their customers’ confidential information and prevent its release to unaffiliated third parties without authorization.The SEC alleged that the former president of Florida-based GunnAllen Financial, Inc. had allowed the firm’s national sales manager to take information from over 16,000 customer accounts as GunnAllen was closing up shop in 2010. [read post]
4 Apr 2011, 9:02 am
Securities $685,000 GunnAllen Financial Inc. [read post]
4 Jan 2011, 7:32 am
$215,000 $19,350 GunnAllen Financial Inc [read post]
16 Dec 2010, 8:46 am
Securities $685,000 GunnAllen Financial Inc. [read post]
