Search for: "Legend Securities, Inc."
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6 Aug 2019, 8:49 am
Independent Financial Group, LLC Kane, Jordan Citizens Securities, Inc Martinez, Joseph Pruco Securities, LLC The Prudential Insurance Company of America Sercia, Anthony Traderfield Securities Inc Legend Securities, Inc Weldon, Benjamin State Farm VP Management Corp FINRA makes this information available, in part, to inform investors about… [read post]
10 Aug 2012, 5:00 am
The court was not dissuaded by the fact that the notes contained securities act legends and contained references to securities laws. [read post]
22 Sep 2021, 10:28 am
According to Giovino’s FINRA broker report, he was affiliated with the following FINRA registered firms, among others: 08/27/2013 – 11/15/2013, LEGEND EQUITIES CORPORATION (CRD#:30999), CLEARWATER, FL 03/29/2004 – 07/08/2021,GWN SECURITIES INC. [read post]
2 Feb 2017, 8:46 am
He was previously registered with Legend Securities, Inc. from March 2013 to February 2016, Aegis Capital Corp. from April 2012 to March 2013 and with John Thomas Financial from January 2008 to April 2012, according to BrokerCheck records. [read post]
11 May 2009, 9:24 am
The Securities and Exchange Commission has charged attorneys for fraudulent legal opinions used by promoters in Pump-and-Dump scheme: The SEC alleges that attorneys Albert Rasch, Jr. and Kathleen Novinger together with Sandra Masino and her company 144 Opinions, Inc. drafted and executed at least 24 legal opinion letters that fraudulently induced the removal of restrictive legends on unregistered shares of Mobile Ready Entertainment Corp. [read post]
6 Feb 2018, 7:30 am
Joseph Stone Capital LLC Caeron Arlington McClintock Spartan Capital Securities, LLC Legend Securities, Inc. [read post]
8 Jun 2015, 8:42 am
Since 2008 Veale has been registered with Maximum Financial Investment Group, Franklin Christopher Investment Bankers, Inc., Brookville Capital Partners, Blackwall Capital Markets, Inc., Meyers Associates, L.P., John Thomas Financial, and Legend Securities, Inc., until February 2015. [read post]
15 Mar 2024, 2:57 pm
The Court has afforded the defendants until May 10, 2024 to secure counsel or face sanctions. [read post]
15 Nov 2016, 5:00 am
Frohling wrote or approved opinion letters stating that the unregistered shares may be issued without restriction and without a legend identifying them as restricted. [read post]
15 May 2018, 12:30 pm
”In a separate SEC complaint, brokerage firm Legend Securities and its registered representative Mark Karow are facing related charges. [read post]
25 Aug 2009, 1:45 am
(c) Legal Expert Connections, Inc., 866-417-7025 www.legalexpertconnections.com [read post]
20 May 2020, 2:25 pm
Fagenson, David Newbridge Securities Corp UBS Financial Services Inc. [read post]
22 May 2012, 3:44 pm
While Xu apparently denied that he was leaving to join a competitor, SI Group alleges in the complaint that Xu in fact joined Sino Legend (Zhangjiagang) Chemical Co., Ltd., Sino Legend Holding Group, Inc., Sino Legend Holding Group Ltd., HongKong Sino Legend Group Ltd., Ning Zhang, and Quanhai Yang (collectively, “Sino Legend”). [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 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 Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services… [read post]
1 Jul 2019, 12:40 pm
Legend Securities, Inc Torres, John JP Morgan Securities LLC Wells Fargo Bank Whiting, David Alternative Asset Investment Mgmt. [read post]
11 Jul 2016, 6:34 am
The action arose out of the distribution of unregistered shares of Greenstone Holdings, Inc., which sent to its stock transfer agent legal opinion letters that supported an exemption from registration under Rule 144(k). [read post]
3 Jun 2015, 12:00 pm
Texas oil is the stuff of legend, and in a scandal worthy of television dramas like Dallas with J.R. [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 Apr 2019, 11:59 am
Equity Sales Company UBS Painewebber Inc Sercia, Anthony Traderfield Securities Inc Legend Securities Soto, Rani Prudential Investment Management AllianceBernstein Investments Stanley, Cornell Jr. [read post]
19 Oct 2016, 7:27 am
Thereafter, from June 2012 until April 2013, McClintock was associated with Legend Securities, Inc. [read post]
