Search for: "METLIFE SECURITIES, INC."
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16 Oct 2013, 7:19 am
Nagi entered the securities industry in 1999 with MetLife Securities Inc., where... [read post]
21 Jul 2009, 8:47 am
" The suit is against MetLife Co. and MetLife, Inc. [read post]
27 Jun 2012, 2:53 pm
The Missouri Insurance Department will collect more than $700,000 from MetLife Inc. as part of the insurers’ settlement with state regulators over its life insurance policy settlement practices. [read post]
14 Aug 2020, 5:49 am
UPDATE: No Rationale And No Explanation In FINRA Arbitration Decision (BrokeAndBroker.com Blog)FINRA Arbitration Awards Online CrashesFINRA Disciplinary Actions Online CrashesChancery Court Declines to Excuse Demand Upon Directors In MetLife Derivative SuitIn re MetLife Inc. [read post]
13 Aug 2015, 11:17 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Original post can be found here.MetLife Inc. and LPL Financial, two large financial services firms, have entered a heated dispute over the poaching of 60 brokers. [read post]
30 Nov 2023, 1:58 pm
(CRD# 133763) of Fort Lauderdale, FL, MetLife Securities Inc. [read post]
5 May 2016, 9:11 am
MetLife Securities Inc will pay $25 million to in a settlement stemming from misconduct related to switching customers' variable annuities. [read post]
2 Apr 2007, 3:00 am
Metlife Inc., Metropolitan Life Ins. [read post]
10 Apr 2015, 6:14 am
Anderson was a registered broker associated with MetLife Securities, Inc. [read post]
5 Sep 2018, 4:20 am
While registered with FINRA member firm MetLife Securities, Inc., Cohen obtained at least $14,6060.94 in reimbursements for false expense reports because the corresponding pre-approved client marketing events did not occur and, ther... [read post]
28 Jun 2018, 1:46 pm
Peter Orlando (CRD #1142715) is a former registered broker, last employed with SCF Securities, Inc. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, 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 Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch,… [read post]
11 Oct 2013, 3:37 am
Nagi entered the securities industry in 1999 with MetLife Securities Inc., where... [read post]
31 Jul 2015, 2:58 pm
Berger had misappropriated funds from elderly customers with registered with Wells Fargo Advisors LLC and MetLife Securities, Inc. [read post]
14 Oct 2008, 12:54 pm
After MetLIfe announced that it expects to report $600M in operating earnings for the third quarter of 2008, Prudential Financial Inc. [read post]
11 Jun 2013, 9:04 am
Troutman, Respondent (AWC 2011029186101, June 5, 2013).In 1958, Troutman became associated with MetLife Securities, Inc. and Metropolitan Life Insura... [read post]
7 Feb 2009, 9:30 am
Last week I attended a function entitled, "Supporting Diversity in Government Contracting of Outside Legal Services: Challenges and Opportunities" held at the Association of the Bar of the City of New York.Participants on the various afternoon panels included Richard Meade, Chief Legal Officer of Prudential Financial Inc., and Paul Cellupica, Chief Counsel of Securities Regulation and Corporate Services at MetLife, Inc. [read post]
14 Jan 2015, 6:40 am
According to Weaver’s BrokerCheck records, the advisor was registered with MetLife Securities, Inc. from May 2008, until January 2012. [read post]
29 Dec 2020, 7:40 am
(CRD#:42150) of Montgomery, TX, McNally Financial Services Corporation (CRD#:121196) of The Woodlands, TX, and MetLife Securities Inc. [read post]
28 Aug 2018, 11:20 am
M & T Securities, Inc Vincent Canzoneri Sigma Financial Corporation Ameriprise Financial Services, Inc Barry Connell Morgan Stanley UBS Financial Services Inc Charles Cox Wells Fargo Advisors, LLC Chase investment Services Corp Shane Dawkins Westpark Capital Joseph Stone Capital LLC Mark Flanagan Citigroup Global Markets Inc Wells Fargo… [read post]
