Search for: "Prudential Investment Management Services LLC"
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9 Jul 2021, 10:11 am
It also helps them start selling online, and manage sales, inventory, reporting and payments across channels, all in one place. [read post]
31 Mar 2021, 12:58 pm
He has been registered with Pruco Securities LLC since May 2020 and he has also been registered with Prudential Financial Planning Services since June 2020. [read post]
31 Mar 2021, 12:58 pm
He has been registered with Pruco Securities LLC since May 2020 and he has also been registered with Prudential Financial Planning Services since June 2020. [read post]
14 Jan 2021, 9:14 am
Wells Fargo to Pay $40m to Resolve Overbilling SuitLaw360 – January 12, 2021 (subscription required) Wells Fargo Merchant Services LLC has agreed to pay up to $40 million in a settlement to end claims by small businesses that it overcharged them and hit them with early termination fees, according to a motion filed Tuesday. [read post]
22 Dec 2020, 1:21 pm
Dimitris Papoutsisdimitris.papoutsis@neo.law Tel +357 25 110145 Elias Neocleous & Co LLC Denmark No temporary permissions regime that would enable UK firms to provide cross-border services. [read post]
30 Oct 2020, 3:21 am
Even though Dykstra is no longer registered as a broker, according to his Investment Adviser Public Disclosure Report he is still a registered investment advisers with two Maitland, Florida, companies: Aegis Wealth Management, LLC (since March 2016) and Alternative Investment Advisors, LLC (since April 2012). [read post]
30 Oct 2020, 3:21 am
Even though Dykstra is no longer registered as a broker, according to his Investment Adviser Public Disclosure Report he is still a registered investment advisers with two Maitland, Florida, companies: Aegis Wealth Management, LLC (since March 2016) and Alternative Investment Advisors, LLC (since April 2012). [read post]
10 Jan 2020, 1:41 am
In the Matter of Prudential Investment Management Services LLC, Respondent (FINRA AWC)FINRA Fines Citigroup Global Markets Inc. [read post]
26 Nov 2019, 7:23 am
According to FINRA Disciplinary actions for November 2019, the following individuals were barred 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 Acree, Sandra Fidelity Services LLC Ader, Debra Baker, Andrew Suntrust Investment Services, Inc Wells Fargo… [read post]
6 Aug 2019, 8:49 am
Independent Financial Group, LLC Kane, Jordan Citizens Securities, Inc Martinez, Joseph Pruco Securities, LLC The Prudential Insurance Company of America Sercia, Anthony Traderfield Securities Inc Legend Securities, Inc Weldon, Benjamin State Farm VP Management Corp FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain… [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc … [read post]
25 Apr 2019, 11:59 am
Equity Sales Company UBS Painewebber Inc Sercia, Anthony Traderfield Securities Inc Legend Securities Soto, Rani Prudential Investment Management AllianceBernstein Investments Stanley, Cornell Jr. [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph … [read post]
31 Jan 2019, 9:54 am
Peter Michael Malis (CRD #317892) is a registered broker and investment advisor currently employed with Wells Fargo Clearing Services, LLC (CRD #19616) of Woodland Hills, CA. [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin,… [read post]
14 Jan 2019, 2:00 am
Putnam Investments LLC, 907 F.3d 17, 40 (1st Cir. 2018), the plaintiffs alleged that the investment firm breached its fiduciary duties of loyalty and prudence by offering exclusively proprietary mutual funds in its retirement plan, despite alleged problems with performance and fees. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, 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 Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington… [read post]
4 Dec 2018, 10:29 pm
Offshore Group Investment Limited d/b/a Vantage Drilling International, Vantage Deepwater Drilling, Inc., and Vantage Energy Services, Inc.; In the 133rd District Court of Harris County, Texas; Hon. [read post]
6 Sep 2018, 6:11 am
From July 1998 to July 1999, Schneider was registered with Prudential Investment Management Services LLC. [read post]
20 Sep 2017, 6:25 am
Before being barred, she was employed at Prudential Investment Management Services LLC from March 2000 to November 2016. [read post]
