Search for: "METLIFE SECURITIES, INC."
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9 Sep 2015, 6:17 am
Thereafter, from September 2009, until February 2011, Sabourin was registered as a broker with MetLife Securities Inc. [read post]
13 Aug 2015, 11:17 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Original post can be found here.MetLife Inc. and LPL Financial, two large financial services firms, have entered a heated dispute over the poaching of 60 brokers. [read post]
31 Jul 2015, 2:58 pm
Berger had misappropriated funds from elderly customers with registered with Wells Fargo Advisors LLC and MetLife Securities, Inc. [read post]
12 May 2015, 3:30 pm
Inc. 90271J184 UBS Trigger Phoenix Autocallable Optimization Securities linked to Research In Motion, Ltd. 90271J176 UBS Trigger Phoenix Autocallable Optimization Securities linked to Chesapeake Energy Corp. 90271J127 UBS Trigger Phoenix Autocallable Optimization Securities linked to Citigroup 90271H873 UBS Trigger Phoenix Autocallable Optimization Securities linked to Chesapeake Energy Corp. 90271J143 UBS Trigger Phoenix Autocallable Optimization… [read post]
12 May 2015, 3:26 pm
Inc. 902641802 UBS Yield Optimization Securities with Contingent Protection linked to McDonald’s Corp. 902641851 UBS Yield Optimization Securities with Contingent Protection linked to Schlumberger, Ltd. 902641869 UBS Yield Optimization Securities with Contingent Protection linked to Oracle Corp. 902641877 UBS Yield Optimization Securities with Contingent Protection linked to Dell Inc. 902641885 UBS Yield Optimization Securities… [read post]
12 May 2015, 2:47 pm
Essentially, in addition to taking on the credit risk of the issuer, the investor also takes on the price risk of the referenced security or securities. [read post]
12 May 2015, 2:43 pm
Essentially, in addition to taking on the credit risk of the issuer, the investor also takes on the price risk of the referenced security or securities. [read post]
4 May 2015, 4:00 am
See our profiles of MassMutual, MetLife, Northwestern Mutual, and Guardian. [read post]
27 Apr 2015, 4:00 am
Associated Entities: The Guardian Insurance & Annuity Company, Inc.; Berkshire Life Insurance Company of America; Guardian Investor Services, LLC; Park Avenue Securities LLC; RS Investment Management Co. [read post]
16 Apr 2015, 1:51 pm
Young was accused of borrowing more than $200,000 from customers in violation of FINRA rules while a registered representative of MetLife Securities, Inc. [read post]
10 Apr 2015, 6:14 am
Anderson was a registered broker associated with MetLife Securities, Inc. [read post]
25 Feb 2015, 12:50 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
20 Jan 2015, 9:08 am
MetLife Inc. et al. rejected the class certification bid from 212 investors whose claims were based on being the victims of an alleged Ponzi scheme said to involve fraudulent investments sold by agents of MetLife and subsidiary New England Life Insurance Co. [read post]
15 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Two former brokers for MetLife Securities Inc., Christopher Birli and Patrick Chapin, pled guilty to orchestrating an annuity scheme. [read post]
14 Jan 2015, 6:40 am
According to Weaver’s BrokerCheck records, the advisor was registered with MetLife Securities, Inc. from May 2008, until January 2012. [read post]
17 Dec 2014, 8:10 am
MetLife Securities Inc. [read post]
16 Sep 2014, 8:36 am
According to their FINRA Broker Reports, Birli and Chapin were employed by Metlife Securities, Inc. prior to FINRA’s enforcement action. [read post]
28 May 2014, 5:49 am
From 2005 to January 2008, Miron was associated with MetLife Securities Inc. [read post]
14 May 2014, 4:16 am
On March 27, 2014, the Financial Industry Regulatory Authority (FINRA) filed a regulatory complaint against two former brokers from MetLife Securities, Inc., a unit of MetLife Inc. [read post]
11 Apr 2014, 6:00 am
In 2001, Meyers became associated with Metlife Securities Inc. [read post]
