Search for: "Gunnallen Financial Inc"
Results 61 - 74
of 74
Sort by Relevance
|
Sort by Date
2 Aug 2010, 4:33 pm
Michael Alcide Poutre (Tarzana and Beverly Hills, California), formerly with Brookstone Securities, Maxxtrade, Inc. and GunnAllen Financial California was fined $5,000 and suspended from association with any FINRA member in any capacity for two years for failing to provide complete responses to FINRA requests for information and documents in a pending investigation. [read post]
5 Jul 2010, 1:55 pm
GunnAllen Financial Inc. - GunnAllen was shut down in March 2010 when it failed to meet FINRA’s net-capital requirements. [read post]
29 Jun 2010, 1:47 pm
Inc. $850,000 $94,000 DeWaay Financial Network LLC $850,000 $134,525 Eagle One Investments LLC $360,000 $42,500 Empire Financial Group Inc. $2,750,000 $234,200 Empire Securities Corp. $205,000 - E-Planning.com Securities Inc. $3,765,000 $483,925 First Allied Securities Inc. $380,000 $11,250 Gk Securities LLC $50,000 - Grant Bettingen Inc. $215,000 $19,350 GunnAllen Financial Inc. $22,255,000 -… [read post]
2 May 2010, 1:55 pm
GunnAllen Financial, Inc. - The Tampa, Florida brokerage firm filed on April 26th, approximately a month after the Financial Industry Regulatory Authority determined that the firm lacked sufficient capital for its operations. [read post]
22 Mar 2010, 12:38 pm
GunnAllen Financial Inc., a Florida-based broker dealer, can no longer trade on behalf of customers because it has fallen below mandatory net capital requirements, a company spokeswoman has confirmed. [read post]
28 Feb 2010, 2:12 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in February 2010: Donald Dunakin, formerly with GunnAllen Financial and Delta Equity Services Corporation in El Dorado Hills, California, was barred from association with any FINRA member in any capacity for making unsuitable recommendations to customers who had to borrow money in order… [read post]
29 Jan 2010, 12:23 pm
After undergoing major litigation costs, GunnAllen Financial Inc. has agreed to be acquired by Progressive Asset Management Inc., which already controls a smaller broker-dealer. [read post]
30 Sep 2009, 3:49 pm
Donald Raymond Dunakin III formerly with Gunnallen Financial, Inc. of El Dorado Hills, California, is the subject of a FINRA disciplinary complaint alleging that he made unsuitable investment recommendations, including the purchase of securities on margin and providing false testimony to FINRA investigators. [read post]
3 Aug 2009, 2:58 pm
According to the article, firms that sold either one or both of the investments include American Portfolios Financial Services Inc., Capwest Securities Inc., GunnAllen Financial Inc., J.P. [read post]
12 Dec 2008, 1:46 am
He left the firm to join Gunn-Allen Financial Inc. [read post]
14 May 2008, 11:08 am
GunnAllen Financial Inc. has settled Financial Industry Regulatory Authority charges that it was allegedly involved in a trade allocation scheme, in addition to several reporting, anti-money laundering, supervisory, and recordkeeping deficiencies. [read post]
8 Oct 2007, 1:08 pm
A former broker and branch manager of a Michigan office of GunnAllen Financial, Inc. is accused of selling fraudulent investments. [read post]
8 Oct 2007, 1:08 pm
A former broker and branch manager of a Michigan office of GunnAllen Financial, Inc. is accused of selling fraudulent investments. [read post]
30 May 2007, 11:11 am
Gunnallen Financial Inc.), Bankr. [read post]
