Search for: "Aegis LLC"
Results 81 - 100
of 151
Sort by Relevance
|
Sort by Date
26 Sep 2019, 9:10 am
(Aegis) out of New York, New York. [read post]
25 Sep 2019, 7:06 am
(Aegis) out of New York, New York. [read post]
16 Jul 2019, 7:05 am
Previous employers include First Standard Financial Company LLC (CRD#:168340) of Garden City, NY, and Aegis Capital Corp. [read post]
4 Jul 2019, 1:34 pm
James Bradley Schwartz has also been registered at the following firms: Joseph Gunnar & Co., LLC, New York, NY— December 9, 2016 to February 28, 2017First Standard Financial Company LLC, Garden City, NY— June 6, 2016 to December 9, 2016John Thomas Financial, New York, NY— October 9, 2012 to June 6, 2013 (FINRA expelled the firm on October 31, 2013) Finally, it is important to note that, as of the date of this article, there has not been a finding of… [read post]
1 Jul 2019, 7:03 am
From June 2017 until February 2018 Kolta was registered with Aegis Capital Corp. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 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 Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block, Gabriel… [read post]
5 Mar 2019, 10:03 am
Accelerated Capital Group Advisory Group Equity Services, Ltd Aegis Capital Corp Aeon Capital, Inc. [read post]
30 Jan 2019, 12:31 pm
(CRD #41258) of Woodbury, NY and Aegis Capital Corp. [read post]
23 Jan 2019, 2:21 pm
LLC (Joseph Gunnar). [read post]
15 Jan 2019, 8:06 am
Nick Son (CRD #1178523) has been employed with Aegis Capital Corp since August 2014 and was also registered with Aegis from March 2010 to April 2011. [read post]
19 Dec 2018, 12:02 pm
That’s worth the festivities; we need no better reason.In the Matter of Wealthfront Advisers, LLC, f/k/a Wealthfront, Inc., Respondent. [read post]
14 Nov 2018, 12:59 pm
Thomas Edison Kelly, Jr (CRD #2877415) is a registered FINRA broker who is currently employed with Aegis Capital Corporation (CRD #15007) of New York, NY. [read post]
8 Nov 2018, 6:52 am
Mark Kolta was also registered with the following firms, FINRA notes: • Aegis Capital Corp. from June 8, 2017 until February 20, 2018, New York, NY • National Securities Corporation from September 12, 2013 until June 2, 2017, New York, NY • Cetera Advisors LLC from November 25, 2011 until September 27, 2013, New York, NY • Chase Investment Services Corp. from April 30, 2008 until December 16, 2011, New York, NY Finally, it is important to not that, as of the… [read post]
31 Oct 2018, 6:35 am
Thomas Edison Kelly Jr. is a NY Broker with 21 Years in the Securities Industry with 5 Different Firms, and is Currently Registered with Aegis Capital Corp. in NYC Thomas Kelly Jr. is a NY broker with 21 years in the securities industry at 5 different firms, and is currently registered with Aegis Capital in New York, NY, FINRA reports. [read post]
19 Oct 2018, 6:47 am
Kennedy, President & Founder, AdvisorLaw, LLC and Aegis J. [read post]
19 Oct 2018, 6:47 am
Kennedy, President & Founder, AdvisorLaw, LLC and Aegis J. [read post]
19 Oct 2018, 6:46 am
Kennedy, President & Founder, AdvisorLaw, LLC and Aegis J. [read post]
19 Oct 2018, 6:46 am
Kennedy, President & Founder, AdvisorLaw, LLC and Aegis J. [read post]
2 Oct 2018, 5:44 am
Jason Sullivan Woodstock Financial Group, Inc Wells Fagro Clearing Services, LLC Michael Venturino Trident Partners LTD Aegis Capital Corp Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
