Search for: "Bar Works Capital, LLC"
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8 May 2020, 9:36 am
Mark Schneck Northwestern Mutual Investment Services LLC MML Investors Services,LLC Cynthia Tarner Dennis Taylor Taylor Capital Management Inc. [read post]
18 Dec 2018, 11:08 am
Hill Securities, LLP Suntrust Investment Services, Inc Lloyd Johnston Capital Financial Services, Inc BP&J / LLC Robin Lomont Bradley Pace LPL Financial LLC A.J. [read post]
28 May 2021, 12:19 pm
Jason Anderson Merrill Lynch, Pierce, Fenner & Smith Incorporated LPL Financial LLC Solomon Apprey Pruco Securities, LLC AXA Advisors, LLC Ronald Bartsch Union Capital Company Liberty Partners Financial Services, LLC Spyridon Chandrinos Millennium Advisors, LLC Nelson Polun Wells Fargo Clearing Services, LLC Merrill Lynch, Pierce, Fenner… [read post]
24 Jan 2022, 2:01 pm
According to FINRA Disciplinary actions for January 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Inc Bradley Holts World Capital Brokerage, Inc. [read post]
25 Apr 2019, 12:02 pm
According to FINRA Disciplinary actions for April 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Austin, Phillip JP Morgan Securities Chase Investment Services Bishop, Tywan Charles Schwab & Co E Trade Securities … [read post]
3 Sep 2020, 7:51 am
Western Wealth Management, LLC John Santariello Arive Capital markets Cape Securities Inc. [read post]
30 Dec 2022, 7:37 am
LLC RBC Capital Markets, LLC Cedric Wade LPL Financial LLC National Planning Corporation FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
30 Jan 2019, 1:06 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Balas, Tami SCF Securities, Inc Klopp Agency Bustamante, Ricardo JP Morgan Securities LLC Bustamante Family Legacy,… [read post]
10 Aug 2022, 6:14 am
See also: Former Money Concepts Capital Advisor Dustin Shafer Barred from Securities Industry When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
2 Nov 2012, 4:24 pm
Senior Housing Capital LLC v. [read post]
10 May 2013, 10:49 am
Proposed legislation has been working its way through the Delaware State Bar Association. [read post]
2 May 2024, 12:35 pm
April 2024 FINRA barred financial advisor Scott Matalon from the securities industry after he reportedly refused to cooperate with their investigation into allegations made by a client. [read post]
12 Jul 2021, 2:48 pm
FINRA Bars Advisor Christopher Orlando after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Christopher Orlando (CRD #4136262) from associating with any FINRA member at any time. [read post]
8 Nov 2021, 1:27 pm
Henrique Lucena Laidlaw & Company Morgan Stanley Lionel Scott Arive Capital Markets Cape Securities Inc. [read post]
13 Nov 2023, 4:07 am
, 74 NYS Bar Assoc. [read post]
30 Dec 2022, 8:04 am
Seymour Cohen Wilmington Capital Securities, LLC Clark Dodge & Co., Inc. [read post]
28 May 2021, 8:02 am
Maxim Group LLC Harry Lum Jr. [read post]
15 Jul 2022, 12:53 pm
DiPaola worked in the firm’s equity capital markets group. [read post]
30 Aug 2021, 1:11 pm
Without Landlord’s knowledge, and in violation of lease provisions, Tenant allowed MCM Capital, LLC and Alta Realty Company, LLC (“Occupants”) to occupy a portion of the premises rent free. [read post]
23 Aug 2021, 12:14 pm
David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. [read post]
