Posts tagged with: "Chase-Investment-Services"
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23 Nov 2011, 1:24 pm
Chase Investment Services Corp. has been ordered to reimburse customers $1.92 million for losses they incurred after Chase Investment brokers recommended the customers purchase unsuitable unit investment trusts and floating rate loan funds, the Financial Industry Regulatory Authority (FINRA) announced on Nov. 15. [read post]
19 Nov 2011, 5:19 pm
FINRA says that Chase Investment Services Corporation will pay back investors for losses sustained from the unsuitable recommendation made that they buy floating rate loan funds and unit investment trusts. [read post]
17 Mar 2014, 4:00 am
Chase Investment Services, ___ F.3d ___ (9th Cir. [read post]
5 Mar 2012, 11:42 am
The White Law Group is investigating Chase Investment Services Corporation’s sales practices involving unit investment trusts (UITs) and floating rate loan funds. [read post]
15 Nov 2011, 7:47 am
FINRA ordered Chase Investment Services Corporation to reimburse customers more than $1.9 million for losses incurred from recommending unsuitable sales of unit investment trusts (UITs) and floating rate loan funds. [read post]
16 Nov 2011, 5:37 am
The Financial Industry Regulatory Authority (FINRA) has fined Chase Investment Services Corporation (Chase) $1.7 million and ordered it to pay more than $1.9 million to customers as restitution for losses caused by its recommendation of unsuitable unit investment trusts (UITs) and floating-rate loan funds. [read post]
16 Nov 2011, 1:29 pm
According to the Financial Industry Regulatory Authority (FINRA) they have fined Chase Investment Services $1.7 million and ordered them to “reimburse customers more than $1.9 million for losses incurred from recommending unsuitable sales of unit investment trusts (UITs) and floating rate loan funds. [read post]
18 Oct 2017, 2:17 am
Morgan Chase Securities, and Chase Investment Services. [read post]
23 Mar 2020, 12:25 pm
Artery Capital is a Chevy Chase-based company providing investment capital and asset management services for owners and investors of residential, commercial office, hospitality and retail ... [read post]
26 Jun 2018, 6:48 am
He was terminated from JP Morgan following allegations he failed to disclose a reportable event on his Form U4, and, while registered with Chase Investment Services Corp, recommended an unsuitable investment and misrepresented material facts related to an investment in auction rate securities. [read post]
30 Mar 2025, 6:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chase Naccarato (Naccarato), currently associated with Cuso Financial Services, L.p., has at least one disclosable event. [read post]
15 May 2013, 7:00 am
Big changes are taking place suggesting that large national loan servicers could exploit an exemption in the foreclosure mediation law Oregon lawmakers are currently debating intended for local banks and credit unions: “This announcement and the increasing number of those like it represent what’s very likely the front end of a massive unloading of home loans from big banks like Bank of America, Chase, and Wells Fargo to a new wave of non-bank investment firms… [read post]
14 May 2017, 6:24 am
Sandra Canaba, a registered representative from Santa Teresa, New Mexico formerly with LPL Financial and Chase Investment Services was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. [read post]
17 Oct 2007, 7:33 am
The two men run two of the biggest banks in the United States, each presiding over a vast financial empire of consumer banking, investment banking, credit card services and asset management. [read post]
12 Nov 2014, 7:15 pm
The petition of the day is: Chase Investment Services Corp. v. [read post]
11 Oct 2007, 4:10 am
Nine investment banks have agreed to buy a minority stake in Thomson’s bond trading platform TradeWeb for about $180 million in a bid to expand the service after most of them sold out of it in 2004. [read post]
16 May 2019, 10:53 am
His previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#:7691), also of Tucson, Chase Investment Services Corp. [read post]
16 Jul 2019, 8:49 am
His previous employers include Chase Investment Services Corp. [read post]
17 May 2019, 7:19 am
Morgan Securities LLC (CRD#:79) of Peekskill, NY, and Chase Investment Services Corp. [read post]
23 Feb 2011, 10:17 pm
Morgan Chase foreclosed on 14 active-service military families. [read post]
