Search for: "Terra Nova Financial, LLC"
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23 Nov 2009, 1:20 pm
FINRA fined Terra Nova Financial, LLC, of Chicago, $400,000 for making more than $1 million in improper soft dollar payments to or on behalf of five hedge fund managers, without following its own policies to ensure the payments were proper.... [read post]
20 Aug 2012, 10:16 pm
The lawyer then allegedly incorporated a competing company Terra Nova Trading, LLC, for Putnam. [read post]
2 Feb 2010, 6:58 pm
Wehrs then wire transferred a large portion of these investor funds to a brokerage account in the name of his title company at Terra Nova Financial LLC located in Chicago, Illinois. [read post]
