Search for: "Gunnallen Financial Inc"
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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]
4 Jan 2011, 7:32 am
$215,000 $19,350 GunnAllen Financial Inc [read post]
31 Mar 2022, 8:46 am
(CRD#:15007), MELVILLE, NY, 05/19/2005 – 03/02/2010, GUNNALLEN FINANCIAL, INC (CRD#:17609), FARMINGDALE, NY 06/13/2002 – 05/19/2005, MILESTONE GROUP MANAGEMENT LLC (CRD#:44486), LAKE SUCCESS, NY According to his FINRA Broker Check profile, Hananel has 6 customer complaints filed against him during his career in the securities industry. [read post]
22 Dec 2015, 5:49 am
In 2008, Child’s brokerage firm, GunnAllen Financial, Inc. alleged that Child allowed a statutorily disqualified person to represent himself as being associated with the branch office. [read post]
26 May 2020, 12:57 pm
(CRD#: 15007) 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]
28 Jun 2018, 2:00 pm
(CRD #30613) of Longwood, FL which merged with Cetera in September of 2016, Gunnallen Financial, Inc. [read post]
29 Nov 2023, 8:59 am
(CRD#:15007), TAMPA, FL, B, 03/16/2010 – 06/17/2015, JHS CAPITAL ADVISORS, LLC (CRD#:112097), SARASOTA, FL B, 06/13/2008 – 03/23/2010, GUNNALLEN FINANCIAL, INC (CRD#:17609), SARASOTA, FL The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
7 Dec 2011, 2:18 pm
His FINRA broker report, publicly available from FIRNA.org, shows that from 12/2004-02/2007 he was registered with Metlife Securities Inc., from 12/2006-03/2010 he was registered with the Gunnallen Financial Inc. [read post]
10 Oct 2011, 1:10 pm
May was assisted by former GunnAllen Financial stockbroker Frank Bluestein. [read post]
2 May 2010, 1:55 pm
GunnAllen Financial, Inc. - The Tampa, Florida brokerage firm filed on April 26th, approximately a month after the Financial Industry Regulatory Authority determined that the firm lacked sufficient capital for its operations. [read post]
21 Jun 2022, 1:21 pm
(CRD#:15007) of Melville, NY, Gunnallen Financial, Inc (CRD#:17609) of Farmingdale, NY, and Milestone Group Management LLC (CRD#:44486) of Lake Success, NY. [read post]
28 Oct 2011, 5:00 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]
16 Jun 2016, 2:48 pm
Remarkably, so many financial firms fail to grasp this critical necessity for independence. [read post]
