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Search Results: First Allied Securities
Results 10-20 of about 21
Date: January 19, 2018
A Financial Industry Regulatory Authority arbitration panel has awarded over $4.3M to investors in their elder financial fraud case against former First Allied Securities broker Anthony Diaz. ... They settled with First Allied Securities last year.
Date: August 23, 2017
The firms that have settled include Cetera Financial Specialists, Cetera Investment Services, Summit Brokerage Services, First Allied Securities, and Girard Securities.
Date: November 2, 2016
., for $2.75M fine, First Allied Securities, Inc., for $950K fine, VSR Financial Services, for $400K fine, Cetera Financial Specialists LLC, for $350K fine, Cetera Advisors Networks LLC, for $750K fine, Summit Brokerage Services, Inc., for $500K fine, Kestra Investments, ...
Date: March 1, 2016
Other advisor firms noted for their high misconduct rates included First Allied Securities at 17.7%, Wells Fargo Advisors (WFC) at 15.3%, UBS Financial Services (UBS) at 15.14%, Cetera Advisors at 14.39%, Securities America at 14.3%, National Planning Corp. at 14%, ...
Date: October 20, 2015
The firms and the payments they will make include: • First Allied Securities, Inc., which will pay over $689K in restitution and a $325K fine.
Date: January 17, 2014
Schorsch entered the independent brokerage scene last year when he acquired Legend Group, First Allied Securities, Investors Capital Holding, and Summit Brokerage Services.
Date: June 12, 2013
However, ever since the credit crisis, Symetra isn’t the only insurer to get rid of their independent broker-dealers because of the risks and expenses involved with being part of the securities industry.
Date: September 22, 2012
The securities arbitration case was submitted on behalf of Sophin Investments SA, which was established to manage Camelia Nasser de Kassin’s inheritance from a relative. ... He allegedly invested in high risk securities, including naked puts in Lehman Brothers and ...
Date: May 26, 2012
However, of the hundreds of arbitration claims (there are also securities lawsuits) that have been pending, this is the first one to go to hearing. ... First Apple REIT case goes against Lerner , Investment News, May 23, 2012 FINRA ...
Date: August 10, 2011
Noack with securities fraud over the sale of unsuitable, high-risk complex investments to 5 Wisconsin school districts. ... The Five Wisconsin School Districts: • Kimberly Area School District • Kenosha Unified School District No. 1 • School District of Waukesha ...
