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26 Dec 2019, 9:02 am
From June 2019 until August 2019 Netzel was registered with Madison Avenue Securities, LLC out of the firm’s Sun Lakes, Arizona office location. [read post]
24 Dec 2019, 10:49 am
His previous employers include National Securities Corporation (CRD#:7569), also of Boca Raton, Fl, Jesup & Lamont Securities CORP (CRD#:39056, expelled by FINRA on 11/04/2010), and Wachovia Securities, LLC (CRD#:19616), both of Fort Lauderdale, FL. [read post]
24 Dec 2019, 9:20 am
When brokers engage in excessive trading, sometimes referred to as churning, the broker will typical trade in and out of securities, sometimes even the same stock, many times over a short period of time. [read post]
24 Dec 2019, 8:44 am
Morgan Securities LLC (CRD#:79) of Los Angeles, CA. [read post]
24 Dec 2019, 8:27 am
Morgan Securities LLC (CRD#:79) and Deutsche Bank Securities Inc. [read post]
24 Dec 2019, 8:01 am
Andrew Stanley Krakauer (CRD: 1613159) is a registered broker and investment advisor employed by AXA Advisors, LLC (CRD#: 6627) of Woodbury, NY. [read post]
20 Dec 2019, 6:10 am
Langevoort (Georgetown University), on Wednesday, December 18, 2019 Tags: Inside information, Insider trading, SEC enforcement, Securities enforcement, Supreme Court The Compensation Committee’s Role in Succession Planning Posted by David N. [read post]
19 Dec 2019, 4:11 pm
The defendant insurance company cancelled a motor insurance policy on the plaintiff’s motor trading business. [read post]
19 Dec 2019, 10:13 am
Maughan exercised de facto control over the trust account and made all investment decisions in it, including what securities to buy and sell, the quantities of the securities to buy and sell and when each transaction would occur. [read post]
19 Dec 2019, 8:32 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
18 Dec 2019, 12:31 pm
The Securities and Exchange Commission today announced settled charges against two registered broker-dealers, Bluefin Trading LLC and Critical Trading LLC, for violating the so-called “short tender rule” and enriching themselves at the expense of other…Read the Full Press ReleaseHave a securities law question? [read post]
18 Dec 2019, 5:57 am
Advisor Yvonne Silguero (Silguero), currently employed by LPL Financial LLC (LPL Financial) has been subject to at least two customer complaints during the course of her career. [read post]
17 Dec 2019, 1:46 pm
Burns entered the securities industry in 2000. [read post]
17 Dec 2019, 1:27 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
17 Dec 2019, 2:15 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
13 Dec 2019, 8:21 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
13 Dec 2019, 6:21 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
10 Dec 2019, 7:59 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
10 Dec 2019, 4:51 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
9 Dec 2019, 9:23 am
If you are concerned about investments you made with International Assets Advisory LLC the securities attorneys at The White Law Group may be able to help. [read post]
