Search for: "Summit Brokerage Services"
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28 Apr 2022, 8:39 am
According to FINRA Disciplinary actions for March 2022, the following individuals were barred 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 Kameise Bickham John Boatright Newbridge Securities Corporation Summit Brokerage Services, Inc. [read post]
26 Jun 2017, 12:31 pm
If so, The White Law Group may be able to help you recover your losses by filing FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
12 Dec 2017, 12:36 pm
VSR became a part of Summit Brokerage Services in 2016. [read post]
18 Jun 2012, 11:18 am
It is being reported that this suit has caused at least one brokerage firm, Summit Brokerage Services, to suspend its selling agreements with sponsor KBS Holdings LLC. [read post]
6 Feb 2018, 7:33 am
Perconte Summit Brokerage Services, Inc. [read post]
3 Feb 2015, 2:59 pm
Hanauer & Co from 12/2008 – 09/2008, Summit Brokerage Services from 09/2009 – 08/2010 and Liberty Partners Financial Services 08/2010 – 11/2013. [read post]
26 Jul 2017, 5:32 am
If so, The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
25 Oct 2022, 10:59 am
Cole Financial from May-July 2018, Allegis Investment Services LLC from July 2014-May 2018, and Summit Brokerage Services from March 2010 – July 2014. [read post]
24 Sep 2014, 2:47 pm
According to BrokerCheck, Mays was a registered broker in Corpus Christi, TX with LPL Financial from 09/2004 – 04/2009, Summit Brokerage Services from 04/2009 – 12/2010 and SWS Financial Services from 01/2011 – 11/2011. [read post]
23 Aug 2017, 11:55 am
First Allied and Summit Brokerage Services, respectively, will pay $877,000 and $357,000. [read post]
21 Jul 2017, 8:53 am
During his employment at SunTrust Investment and Summit Brokerage Services, Hoffman allegedly caused a loss for his client due to the misrepresentation of Mutual Funds. [read post]
26 Mar 2018, 12:06 pm
Prior to that, he was registered with Summit Brokerage Services from 06/12/2014 – 11/24/2014. [read post]
23 Dec 2016, 6:50 am
After leaving SagePoint, Vilord became registered with Summit Brokerage Services, Inc. in Turnersville, NJ. [read post]
10 Jun 2013, 10:04 am
According to his FINRA BrokerCheck Report (CRD), Morrow has worked with Summit Capital Investment Group since 04/1998 and Summit Capital Trading since 04/1997. [read post]
10 Jul 2017, 2:37 pm
Hoffman was registered with Summit Brokerage Services in Brunswick, GA from 05/06/2013 – 03/01/2016. [read post]
17 Dec 2014, 8:10 am
Spire Securities, LLC Summit Brokerage Services, Inc. [read post]
13 Nov 2017, 1:24 pm
He worked for Summit Brokerage Services in Fredericksburg VA from July 2013 through July 2015. [read post]
6 Sep 2016, 7:53 am
The most recent complaint was filed in March 2016, and alleged that James Noto, while employed at Summit Brokerage Services (Summit), recommended an unsuitable investment in a variable annuity. [read post]
5 Jul 2022, 9:04 am
Henry Moore LPL Financial LLC Summit Brokerage Services, Inc. [read post]
19 Oct 2022, 6:49 am
(CRD#:124583), CLEARFIELD, UT, B, 07/01/2014 – 05/08/2018, ALLEGIS INVESTMENT SERVICES, LLC (CRD#:168557), Clearfield, UT B, 03/22/2010 – 07/02/2014, SUMMIT BROKERAGE SERVICES, INC. [read post]
