Search for: "Aegis LLC"
Results 61 - 80
of 151
Sort by Relevance
|
Sort by Date
20 Nov 2020, 7:35 am
While Litel claimed that there was a conflict between the Third (as reflected in Grace Ranch, LLC v. [read post]
20 Nov 2020, 7:35 am
While Litel claimed that there was a conflict between the Third (as reflected in Grace Ranch, LLC v. [read post]
20 Nov 2020, 6:57 am
May Kim Pruco Securities, LLC Evan Nadelman Aegis Capital Corp. [read post]
30 Oct 2020, 3:21 am
Even though Dykstra is no longer registered as a broker, according to his Investment Adviser Public Disclosure Report he is still a registered investment advisers with two Maitland, Florida, companies: Aegis Wealth Management, LLC (since March 2016) and Alternative Investment Advisors, LLC (since April 2012). [read post]
30 Oct 2020, 3:21 am
Even though Dykstra is no longer registered as a broker, according to his Investment Adviser Public Disclosure Report he is still a registered investment advisers with two Maitland, Florida, companies: Aegis Wealth Management, LLC (since March 2016) and Alternative Investment Advisors, LLC (since April 2012). [read post]
5 Oct 2020, 7:34 am
Prior employers include Gunnallen Financial, Inc (CRD#:17609), Maxim Group LLC (CRD#:120708) and Bear, Stearns & Co. [read post]
3 Sep 2020, 8:38 am
Evan Nadelman Aegis Capital Corp. [read post]
12 Aug 2020, 12:31 pm
ECI Management LLC reversed the trial court’s grant of summary judgment in favor of an insurer, AEGIS Electric & Gas International Services Ltd. [read post]
5 Jun 2020, 1:52 am
According to Kolta’s Brokercheck report, on March 24, 2020 a customer filed a complaint against Kolta’s former broker-dealers Cetera Advisors LLC and National Securities Corporation. [read post]
5 Jun 2020, 1:52 am
According to Kolta’s Brokercheck report, on March 24, 2020 a customer filed a complaint against Kolta’s former broker-dealers Cetera Advisors LLC and National Securities Corporation. [read post]
26 May 2020, 12:57 pm
However, Agnihotri has worked for 12 firms over the past 19 years in the securities industry, most of which have been expelled by FINRA or their registration terminated by the SEC: Spartan Capital Securities, LLC (CRD#: 146251) Aegis Capital Corp. [read post]
20 May 2020, 1:57 pm
According to FINRA Disciplinary actions for January 2020, 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 Callagy, Christopher Aegis Capital Corp Oppenheimer & Co Inc Costanzo, Anthony AXA Advisors, LLC Dininno, Matthew Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc Dow,… [read post]
14 May 2020, 5:31 am
(FINRA) Initiates a Review of Luftschein’s Previous Customers’ Account Churning Complaints Related to His Work at AEGIS Capital Corp. [read post]
14 May 2020, 5:31 am
(FINRA) Initiates a Review of Luftschein’s Previous Customers’ Account Churning Complaints Related to His Work at AEGIS Capital Corp. [read post]
6 May 2020, 9:12 am
A lawsuit filed in the Southern District of New York, FirstFire Global Opportunities Fund, LLC v. [read post]
28 Jan 2020, 3:02 pm
From February 2010 until October 2017 Agnihotri was assoaicted with Aegis Capital Corp. [read post]
24 Jan 2020, 4:10 am
Benjamin Wey, FNL Media LLC, and NYG Capital LLC d/b/a New York Global Group, Defendants (Decision and Order, NYS Supreme Court)[In]Securities Guest Blog: Rolled Up and Smoked by Aegis Frumento Esq (BrokeAndBroker.com Blog)Court Grants CBOE Motion to Dismiss. [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 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 Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital Management… [read post]
13 Dec 2019, 9:06 am
BioTE Med., LLC, No. 05-18-01290-CV, 2019 WL 3798180 (Tex. [read post]
19 Nov 2019, 6:58 am
Press, LLC, 566 F.3d 164 (5th Cir. 2009). [read post]
