Search for: "Gunnallen Financial Inc"
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5 Oct 2020, 6:50 am
His previous employers include JHS Capital Advisors, LLC (CRD#:112097), also of Massapequa, Gunnallen Financial, Inc. [read post]
12 Sep 2022, 4:45 am
GunnAllen Financial, Inc., and David Neil Soiferman, Respondents / RE-POSTED IN RESPONSE TO September 13, 2022 / DMCA Takedown Notice. [read post]
12 Sep 2022, 4:45 am
GunnAllen Financial, Inc., and David Neil Soiferman, Respondents / RE-POSTED IN RESPONSE TO September 13, 2022 / DMCA Takedown Notice. [read post]
22 Sep 2021, 6:54 am
According to FINRA Disciplinary actions for July 2021, 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 David Allen Avenir Financial Group GunnAllen Financial, Inc. [read post]
18 May 2022, 1:42 pm
He was previously employed with Gunnallen Financial, Inc (CRD#:17609) of Tampa, FL and Ehrenkrantz King Nussbaum, Inc. [read post]
7 Jan 2020, 8:48 am
Previous employers also include Gunnallen Financial, Inc. and First Allied Securities, Inc. [read post]
5 Jan 2021, 8:23 am
(CRD#:15007) of Melville, NY, and Gunnallen Financial, Inc (CRD#:17609) of New York, NY. [read post]
20 Jan 2017, 7:38 am
He was previously registered with Aegis Capital Corp. from March 2010 to November 2011 and with Gunnallen Financial, Inc. from September 2008 to March 2010, according to BrokerCheck records. [read post]
20 Jan 2017, 7:38 am
He was previously registered with Aegis Capital Corp. from March 2010 to November 2011 and with Gunnallen Financial, Inc. from September 2008 to March 2010, according to BrokerCheck records. [read post]
27 Apr 2022, 7:02 am
(CRD#:5670), Gunnallen Financial, Inc. [read post]
27 Oct 2011, 12:30 pm
• GunnAllen Financial Inc. [read post]
8 Apr 2011, 3:21 pm
” Regulation S-P mandates that financial firms safeguard their customers’ confidential information and prevent its release to unaffiliated third parties without authorization.The SEC alleged that the former president of Florida-based GunnAllen Financial, Inc. had allowed the firm’s national sales manager to take information from over 16,000 customer accounts as GunnAllen was closing up shop in 2010. [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]
12 Dec 2008, 1:46 am
He left the firm to join Gunn-Allen Financial Inc. [read post]
30 Sep 2009, 3:49 pm
Donald Raymond Dunakin III formerly with Gunnallen Financial, Inc. of El Dorado Hills, California, is the subject of a FINRA disciplinary complaint alleging that he made unsuitable investment recommendations, including the purchase of securities on margin and providing false testimony to FINRA investigators. [read post]
26 Oct 2011, 6:10 am
According to the Commission, when GunnAllen Financial Inc. was winding down its business operations last year, its former president and former national sales manager violated customer privacy rules by improperly transferring customer records to another firm. [read post]
11 Apr 2011, 6:00 am
According to the Commission, when GunnAllen Financial Inc. was winding down its business operations last year, its former president and former national sales manager violated customer privacy rules by improperly transferring customer records to another firm. [read post]
8 Apr 2011, 10:21 am
The SEC alleged that the former president of Florida-based GunnAllen Financial, Inc. had allowed the firm’s national sales manager to take information from over 16,000 customer accounts as GunnAllen was closing up shop in 2010. [read post]
13 Apr 2011, 9:32 am
"Nonpublic personal information" can include, among other things, the fact that an individual is or has been one of your customers or has obtained a financial product or service from you.The SEC found that while GunnAllen Financial, Inc., was winding down its business operations last year, its former president and former national sales manager violated customer privacy rules by improperly transferring customer records to another firm. [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]
