Search for: "Gunnallen Holdings Inc."
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29 Jan 2010, 12:23 pm
Late last year, John Sykes resigned as Chairman of GunnAllen Holdings Inc., the firm’s largest owner, but also purchased Pointe Capital Inc., another registered broker-dealer which had been purchased by GunnAllen Holdings only months earlier. [read post]
18 Jul 2012, 6:30 am
JHS Capital Advisors is owned by a holding company controlled by John Sykes, who made his fortune investing in call centers before entering the independent broker-dealer industry with the purchase of preferred shares of GunnAllen Holdings Inc. in 2008. [read post]
18 Jul 2012, 6:30 am
JHS Capital Advisors is owned by a holding company controlled by John Sykes, who made his fortune investing in call centers before entering the independent broker-dealer industry with the purchase of preferred shares of GunnAllen Holdings Inc. in 2008. [read post]
18 Jul 2012, 6:30 am
JHS Capital Advisors is owned by a holding company controlled by John Sykes, who made his fortune investing in call centers before entering the independent broker-dealer industry with the purchase of preferred shares of GunnAllen Holdings Inc. in 2008. [read post]
3 Aug 2009, 2:58 pm
According to the article, firms that sold either one or both of the investments include American Portfolios Financial Services Inc., Capwest Securities Inc., GunnAllen Financial Inc., J.P. [read post]
27 Oct 2011, 12:30 pm
• GunnAllen Financial Inc. [read post]
3 May 2018, 1:56 pm
He has worked as a broker since 1994, and previously worked for: GunnAllen Financial, Inc. [read post]
30 May 2007, 11:11 am
Gunnallen Financial Inc.), Bankr. [read post]
26 May 2011, 12:18 pm
Among the broker/dealers that have shuttered: Cullum & Burks Securities Inc., Securities Network, GunnAllen Financial, QA3 Financial Corp. and Jesup & Lamont Securities Corp., among others. [read post]
25 May 2011, 8:05 am
Among the broker/dealers to shutter: GunnAllen Financial Inc., QA3 Financial Corp., Okoboji Financial Services, and Jesup & Lamont Securities Corp. [read post]
5 Jul 2010, 1:55 pm
GunnAllen Financial Inc. - GunnAllen was shut down in March 2010 when it failed to meet FINRA’s net-capital requirements. [read post]
4 Apr 2011, 9:02 am
Securities $685,000 GunnAllen Financial Inc. [read post]
16 Dec 2010, 8:46 am
Securities $685,000 GunnAllen Financial Inc. [read post]
4 Apr 2022, 7:43 am
(CRD#:34643), NEW PORT RICHEY, FL 04/24/2002 – 09/13/2006, GUNNALLEN FINANCIAL, INC (CRD#:17609), NEW PORT RICHEY, FL Velten reportedly has a history of investor disputes, according to his broker record. [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
