Search for: "Cambridge Security Services, Corp."
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3 Apr 2018, 6:44 am
Savoie was previously registered with The Equitable Life Assurance Society of the U.S., Paul Revere Equity Sales, FSC Securities, The Minnesota Mutual Life Insurance Company, Integrated Resources Equity Corp, Securian Financial Services, Metropolitan Life Insurance Company, MetLife Securities, Park Avenue Securities, ING Financial Partners, and Cambridge Investment Research in Metairie, Louisiana from July 2013 until September 2015. [read post]
13 Sep 2021, 12:39 pm
(CRD#:16361), DALLAS, TX 08/22/2006 – 08/06/2007, 1ST GLOBAL CAPITAL CORP. [read post]
11 Sep 2018, 1:30 pm
(CRD #6363), Investors Capital Corp. [read post]
12 Feb 2024, 10:28 am
SEC Fines Firms $81 Million to Settle Charges of Mishandling Electronic Communications According to Investment News last week, several wealth management firms, including Cambridge Investment Research Inc., Northwestern Mutual Investment Services, and Lincoln Financial Advisors Corp., are among 16 companies paying an $81 million fine to settle charges related to mishandling electronic communications, as per the Securities and Exchange Commission (SEC). [read post]
19 Feb 2021, 7:40 am
Aegis Capital Corp. [read post]
3 Jun 2019, 11:11 am
After stepping down at Cambridge, he became a registered IFS Securities broker. [read post]
30 Jan 2015, 5:22 am
From 1994 to December 2012, he was registered with the following FINRA firms: (1) Capital Analysts, Inc. until to December 2007; (2) Cambridge Investment Research, Inc. from January 2008 to May 2012; and (3) Comprehensive Asset Management and Servicing, Inc. [read post]
3 Dec 2021, 1:29 pm
(CRD#:16361) of Dallas, TX, and 1st Global Capital Corp. [read post]
21 May 2020, 7:12 am
Karney, Amogh McGuire, Jesse JP Morgan Securities LLC Chase Investment Services Corp. [read post]
4 Jun 2018, 6:30 am
National Securities Corp. [read post]
8 May 2012, 2:30 pm
Brewer Financial Services, LLC Cambridge Legacy Securities, LLC Dolphin & Bradbury Incorporated Genesis Securities iTRADEdirect.com Corp. [read post]
7 Aug 2018, 10:46 am
Citizenship and Immigration Services (USCIS) – has never been lawfully authorized to conduct such investigations? [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended 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 Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services… [read post]
14 Apr 2024, 1:05 pm
Associates Commercial Corp., 96 C 2305, 1996 WL 392135, at *3 (N.D. [read post]
4 Apr 2011, 9:02 am
(Merged into Securities America Corp. in 2009) $383,000 Milestone Financial Services Inc. [read post]
16 Dec 2010, 8:46 am
(Merged into Securities America Corp. in 2009) $383,000 Milestone Financial Services Inc. [read post]
7 Aug 2018, 10:46 am
Citizenship and Immigration Services (USCIS) – has never been lawfully authorized to conduct such investigations? [read post]
24 May 2010, 11:21 am
(Cambridge, MA) Ak Ayers, Inc. [read post]
25 Oct 2023, 12:36 pm
Morgan Securities LLC Chase Investment Services Corp. [read post]
27 Dec 2023, 11:21 am
Morgan Securities LLC Chase Investment Services Corp Merrill Richardson Goldman Sachs & Co, LLC William Blair & Company LLC Michael Solomon Maxim Group LLC HFP Capital Markets LLC Steven Thompson Network 1 Financial Securities Inc. [read post]
