0. 76 percent of the customer complaints still pending against Newbridge Securities LLC came from equities, SLCG found. You may reproduce materials available at this site for your own personal use and for non-commercial distribution. 0. When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Don't give up. "-Sonn Law Group Client. Newbridge Securities is currently licensed to operate in all 50 U.S. states as well as in Washington DC, Puerto Rico and the Virgin Islands. The claim alleges former Newbridge financial advisor. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks. Powered by Intelligent Holdings. Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. 1223556) has served as Newbridges Director of Investment Banking since 2015. Newbridge Securities provides complete client services including Investment Banking, Wealth Management and Insurance & Account Protection. By virtue of the foregoing, Newbridge violated FINRA Rule 3110 and FINRA Rule 2010. a copy of the FINRA sanction, click here: Copy of FINRA Sanction. NEWBRIDGE SECURITIES CORPORATION: Street Address: 1200 NORTH FEDERAL HIGHWAY: City: BOCA RATON: State: FL: Area Code: 33432: This copy is for your personal, non-commercial use only. The South Carolina Senate has once again rejected a near-total abortion ban, South Carolina senators voted down a bill that would have prohibited nearly all abortions in a conservative state that has increasingly treated patients in an area where Republican politicians have traditionally restricted access. duties are breached, the customer may be entitled to a recovery of his or her Wolper, the Managing Principal of the Wolper Law Firm, is a The recent complaints/lawsuits against Newbridge are the result of GWG Holdings L Bonds, GPB Capital, and other non-traded investments. Thomas John Avery at NEWBRIDGE SECURITIES CORPORATION - View Complaints, Disclosures, Scams and Audit Report (Updated 2023) By The Dirt April 1, 2023 4 Mins Read. Customers have alleged that the true risks of the bonds were not represented and not suitable. Many investors (presumably, . Finra did not respond to a request for comment by deadline. 0. Thomas John Avery at NEWBRIDGE SECURITIES CORPORATION - View Complaints, Disclosures, Scams and Audit Report (Updated 2023) April 1, 2023. outinthewind; 19 seconds ago; 0. If you have an ad-blocker enabled you may be blocked from proceeding. We fight to level the playing field between large corporations and the public investor. investment losses. CRD. 0. They permitted these purportedly non-compliant transactions of unregistered stocks being sold by a few individuals through their accounts. "The vast majority of complaints referenced in this study are related to Puerto Rico, which has experienced an historic economic downturn," a company statement said. -, Monday April 26, 2021 11:00 AM EST Registered broker-dealers are legally responsible for the actions of their investment advisors. You may suffer significant losses at the hands of your financial advisors misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. To view the original article at BROKERAUDIT.COM, you can visit https://www.brokeraudit.com/thomas-john-avery-newbridge-securities-corporation/. Peter Goffin has been in the securities industry since 1987 and previously worked at Wachovia Securities Financial Network, JW Charles Securities and Commvest Securities. The bonds were sold with varied maturity terms ranging from 2 years to 7 years, with interest rates ranging from 5.50 percent to 8.50 percent, according to a prospectus released by GWG for the issuance of $2 billion in L Bonds. Seeking Alpha is not a licensed securities dealer, broker or US investment adviser or investment bank. regulatory obligation to recommend only suitable The recent complaints/lawsuits against Newbridge are the result of GWG Holdings L Bonds, GPB Capital, and other non-traded investments. According to FINRA, the firm failed to get investors a fair market price on certain trades. A number of investors who bought GWG L Bonds through the brokerage Newbridge Securities are represented by Haselkorn & Thibaut. December 2014 FINRA sanctioned the firm after allegations that it engaged in corporate bond transactions in which it failed to buy or sell the bonds at a fair price taking into consideration all applicable circumstances. While "only 2.6 percent of the brokers at firms with more than 200 brokers have customer complaints, Aegis Capital (24.49 percent) and Newbridge Securities Corp. (24.27 percent) employ bad . December 2014 FINRA sanctioned the firm after allegations that it engaged in corporate bond transactions in which it failed to buy or sell the bonds at a fair price taking into consideration all applicable circumstances. Contact our office today to discuss your case. The securities lawyers at Haselkorn & Thibaut have been investigating Newbridge Securities and the various allegations of unsuitable recommendations leveled against it such as for investments in GPB Capital Holdings, Hospitality Investors Trust REIT, and L Bonds of GWG Holdings, that have resulted in significant losses to investors. The truth is that investors who lost money in this fashion may actually be entitled to damages. This rating has been stable over the past 12 months. Numerous customer complaints, including those involving three retired Philadelphia police officers and a firefighter, were reportedly filed against Newbridge alleging that their financial advisor. 1200 N Federal Hwy #400, Boca Raton, FL 33432. allegedly SUBMITT[ING] UNAUTHORIZED PROXY VOTES ON BEHALF OF ITS CLIENTS., Also in 2016, Newbridge was fined The firm currently holds 52 licenses for U.S. States and Territories with over 80 office locations doing $17.5 million in revenue. Michael Greenfield has been in the securities industry since 2008 and previously worked at The GMS Group, LLC, Morgan Stanley and Oppenheimer & Co. . Should I file a FINRA complaint against brokers like Thomas John Avery? Currently, Finra only makes one broker record at a time available to customers through its BrokerCheck tool (https://brokercheck.finra.org/). It also has the unfortunate distinction of a large number of regulatory cases filed against it. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today! Newbridge engages in a general David Fagenson, who was hired by Newbridge after he had been fired by UBS Financial Services for violation of their trading policies, despite being under heightened supervision at the time. The firm was censured and fined $17,500. NE Newbridge Securities is currently licensed to operate in all 50 U.S. states as well as in Washington DC, Puerto Rico and the Virgin Islands. March 2017 FINRA sanctioned Newbridge Securities after allegations it failed to report 9,398 reportable order events to the order audit trail system on 147 separate business days, and additionally that the firm transmitted 1,017 reports with inaccurate, incomplete, or improperly formatted information. One of John Demeo's 3 customers' complaints was settled in favor of investor. Newbridge Securities Corporation Trading Products. Suite 204, Fort Lauderdale, Florida, 33309, United States. with clients. If Newbridge Securities Corporation shows any . Newbridge Securities Corp.,a mid-sized broker-dealer based in Boca Raton, FL with 35 regulatory event disclosures, has a history of compliance problems, according to an article in Investment News. Newbridge allegedly allowed the sale of LJM on its platform without conducting reasonable due diligence and without a sufficient understanding of its risks and features, including the fact that the fund pursued a risky strategy that relied on purchasing uncovered options. A new investor complaint against Boca Raton financial advisor Antoine Shamlee (CRD# 4750442) alleges that his conduct resulted in damages of more than $200,000. If you are considering becoming a client of Newbridge Securities or you are currently a client its important that you know about the customer complaints and regulatory actions against the firm. Call us now for a free consultation at. Due to the firms negligence in handling some transactions, many clients did not receive the best available price on their trades, which was a clear breach of the firms fiduciary duty to its clients. Censured and fined $17,500 by FINRA. Newbridge Securities Corporation Complaints . The broker is offering you to fund more money into the account after you lost a large sum. registered representatives to sell two private placement offerings using Unauthorized trading is a serious violation of an investors trust and can lead to major financial losses. In his career, Lawrence Labine has been the subject of 28 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. National Investment Fraud Lawyers - No Recovery, No Fee -Call Us 1-800-856-3352, Investment Fraud Lawyers | Financial Advisor Fraud | SEC & FINRA Attorneys, Offices in Florida, New York, Arizona, Texas & North Carolina, Copyright 2023 Investment Fraud Lawyers, Haselkorn and Thibaut, InvestmentFraudLawyers.com, specialize in fighting for investors nationwide and have offices in Florida, New York, North Carolina, Arizona, and Texas. This article is syndicated automatically through a third-party agency from BROKERAUDIT.COM. While Finra has admitted it has ranked all 634,000 of the brokers it oversees since 2015, it continues to decline to release bigger-picture complaint and disciplinary data on firms to the industry or consumer groups. Specifically, these allegations involved the buying and selling of corporate bonds. needs and objectives. A large number of customer complaints at Newbridge Securities Corporation also raises questions about . Is this happening to you frequently? Newbridge Securities Corp Financial Advisor, Kerri Jamison, faces a series of complaints from customers who accused her of making unsuitable investment recommendations.Jamison has been in the securities industry since 2001, having worked at Dewaay Financial Network before joining Newbridge Securities.. Jamison is among several brokers at Newbridge Securities Corp that have been flagged for . Newbridge Core Values 1200 NORTH FEDERAL HIGHWAY SUITE 400 . The complaint alleged that Cocuzzo engaged in a scheme to defraud investors and potential investors by receiving cash kickbacks to recommend and induce customers to purchase ForceField stock without disclosing those kickbacks to his customers. "We do not believe the Puerto Rico complaints represent an accurate measure of SSLLCs sales or supervisory practices.". The firm allegedly permitted control persons to sell unregistered securities through firm accounts, and the sales were not made in compliance with any applicable exemption from registration. BBB File Opened: 11/6/2000. Your email address will not be published. -, Wednesday January 20, 2021 7:48 AM EST We want to hear it. The firm reportedly failed to adequately supervise the registered representatives who participated in the sales of unregistered securities, according to FINRA. Matt Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in March 2023, there is [], Margin Calls and Securities Based Lending, SECURITIES EMPLOYMENT & INDUSTRY DISPUTES. In 2010 the complaint reached a settlement of $850,000. 3399 Peachtree Rd. Newbridge Securities Corporation Recruits New York City Based Asset Management Group and Winter Park, Florida Group Advising in Excess of $400 Million in Client Assets Its a significant improvement over the firms previous rankings, but our current measure still misses cases which have been expunged, McCann says. Customers have alleged that the true risks of the bonds were not represented and not suitable. released by the Financial Industry Regulatory Authority (FINRA), in September When brokers violate securities laws, such as making unsuitable investments, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Our analysts are third party authors that include both professional investors and individual investors who may not be licensed or certified by any institute or regulatory body. The Financial Industry Regulatory Authority Inc. reportedly censured Newbridge Securities and fined the firm $225,000 for having failed to adequately supervise the sale of complex securities such as. It claims that it provides services in over 80 locations countrywide. Between July 2013 and July 2016, Newbridge allegedly failed to establish and maintain a supervisory system, and failed to establish, maintain and enforce written supervisory procedures, concerning the sale of complex securities, according to a Letter of Acceptance, Waiver and Consent. [Attorney Bio], 1250 S. Pine Island Road, Suite 325 Plantation, FL 33324 Phone: 800.931.8452 / 954.406.1231, 2022 The Wolper Law Firm, P.A. Newbridge Securities Corp., a mid-sized broker-dealer based in Boca Raton, FL with 35 regulatory event disclosures, has "a history of compliance problems," according to an article in Investment News. 0. 0. Newbridge Securities Financial Advisor, Peter Goffin, Has Nine Customer Complaints Newbridge Securities Corporation Financial Advisor, Michael Greenfield, Has Six Customer Complaints Newbridge Securities Broker, David Fagenson, Has Twelve Customer Complaints Reported On His Disclosure Report Newbridge Financial Advisor, Dana Davis, Has Eight Customer Complaints, Including Two Pending Complaints Wolper Law Firm Is Investigating Claims Against Financial Advisor, Xavier Patino Newbridge Securities Corp. Financial Advisor, Dana Davis, Has 7 Customer Complaints, Including One Pending Complaint Alleging Fraud And Breach Of Fiduciary Duty Can I Sue Newbridge Securities Corporation Or Salomon Whitney Financial To Recover Investment Losses Caused By Dennis Hayes. Newbridge Financial, Inc. And Wholly Owned Subsidiary, Newbridge Securities Corporation, Celebrate Their 20th Anniversary Newbridge Securities Corporation celebrates its Chief Market Strategist Don Selkin Newbridge Securities Corporation Announces New Global Headquarters, Newbridge Securities Corporation Features on its Platform Don Selkin, the Creator of Fair Value numbers included in the U.S. Futures Report on CNBC for Over 35 Years, as its Chief Market Strategist, Newbridge Securities Corporation Recruits New York City Based Asset Management Group and Winter Park, Florida Group Advising in Excess of $400 Million in Client Assets, Newbridge Securities Corporation Enters into 5-Year Clearing Agreement with Axos Clearing LLC. Thomas John Avery at NEWBRIDGE SECURITIES CORPORATION - View Complaints, Disclosures, Scams and Audit Report (Updated 2023) April 1, 2023. To the extent any of these How to Sue a Financial Advisor or Stockbroker Over Investment Losses, How to File a Complaint Against Your Financial Advisor or Stockbroker, Security Exchange Commission Complaint: How to Report Your Brokerage Firm or Advisor to the SEC. Beginning 2017, FINRA announced the prioritization of action to keep track of recidivist/ high-risk brokers. banks and brokerage firms in the world in securities matters. His demeanor was professional and pleasant and I would not hesitate to use him in future matters. This was, allegedly, for the purpose of manipulating trading in a stock that resulted from a reverse merger. Without admitting or denying any wrongdoing in this case, the company consented to the sanctions and agreed to pay the penalty. In our broker reviews, we discuss trading products, such as stocks, commodities, ETFs, forex, options, CFDs, bonds, indices, and cryptocurrencies. In June of 2016, FINRA fined Newbridge Securities $115,000 and ordered the firm to pay $188,803.99 in restitution to affected customers for failing to apply sales charge waivers to client accounts. However, most of our clients were not aware their broker was problematic before they had already signed up. Investors are now concerned about the condition of these investments and the potential loss of principal after GWG sold L Bonds valued at billions of dollars over the course of several years. 0. Newbridge Securities Corp. is owned by Newbridge Financial Inc. and Jerry Weigle, and it is the parent company of Ludwig Investments, Inc., Newbridge Securities Corp., and Newbridge Securities Corporation. However, as the fine is notably large, it is clear that this case involved very serious allegations of misconduct. Newbridge representatives sold approximately $323,000 in LJM to customers. . The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. In December of 2014, FINRA fined Newbridge Securities $138,000 and ordered the brokerage to pay affected customers full restitution. Northstar Financial Services (Bermuda), Ltd. https://brokercheck.finra.org/firm/summary/104065#disclosuresSection, https://brokercheck.finra.org/individual/summary/1223556, Newbridge Securities Financial Advisor, Peter Goffin, Has Nine Customer Complaints, Newbridge Securities Corporation Financial Advisor, Michael Greenfield, Has Six Customer Complaints, Newbridge Securities Broker, David Fagenson, Has Twelve Customer Complaints Reported On His Disclosure Report, Newbridge Financial Advisor, Dana Davis, Has Eight Customer Complaints, Including Two Pending Complaints, Wolper Law Firm Is Investigating Claims Against Financial Advisor, Xavier Patino, Newbridge Securities Corp. Financial Advisor, Dana Davis, Has 7 Customer Complaints, Including One Pending Complaint Alleging Fraud And Breach Of Fiduciary Duty, Can I Sue Newbridge Securities Corporation Or Salomon Whitney Financial To Recover Investment Losses Caused By Dennis Hayes, Financial Adviser Duane Pellman was Permitted to Resign from Excel Wealth Management, Financial Advisor Miche Jean Disclosed Two Month Suspension by FINRA. The result of this practice was that the stock price was temporarily pumped up, allowing certain parties to manipulate the market for financial gain. We have over 50 years of experience and a 95% success rate. The order released did not specify the name of the broker who committed the wrongdoing, or the total amount of damage that was done to investors. Newbridge Securities Corporation celebrates its Chief Market Strategist Don Selkin Raton, Florida. Former LPL Financial Advisor Bradley Gardner Barred by FINRA. Many investors (presumably, . Contact me online or call anytime at 844-689-5754, What current and prospective clients should know about complaints and regulatory actions against Newbridge Securities. The Securities Litigation & Consulting Group (SLCG) has done what regulators have repeatedly declined to do published the worst ranked brokerage firms in the securities industry. For more information about The White Law Group call our Chicago office at 312-238-9650 or visit us on the web at http://www.whitesecuritieslaw.com. For more information on The White Law Group, visit. Recently many customers of Newbridge Securities Corp. have filed Financial Industry Regulatory Authority (FINRA) arbitration claims for recovery of investment losses against it and named several of its financial advisors in their claims. To send us an e-mail, simply complete and submit the online form below. Cocuzzo is no longer with Newbridge. At the time of filing Labine reportedly had six regulatory events, two judgement liens, one employment separation, and 23 customer complaints on his broker report. Davis has been the subject of eight customer complaints between 1997 and 2018, one of which . In 2017, Newbridge was ordered to securities business and employs approximately 175 registered representatives at document.getElementById( "ak_js_1" ).setAttribute( "value", ( new Date() ).getTime() ); Yes. Thomas John Avery at NEWBRIDGE SECURITIES CORPORATION View Complaints, Disclosures, Scams and Audit Report (Updated 2023). *by appointment only. FINRA investigators determined that this broker exercised discretionary trading authority on a customers account, despite that fact that he did not have the written authorization to do so. November 2017 Numerous customer complaints, including those involving three retired Philadelphia police officers and a firefighter, were reportedly filed against Newbridge alleging that their financial advisor, Austin Dutton, did not properly warn them of the risks involved with the recommended investments. Entering text into the input field will update the search result below. Six of Michael Greenfield's 8 customer complaints were settled in favor of investors. Please research Thomas Averys disclosures, allegations and complaints before taking a decision, Originally reported on November 15, 2022 @ 11:41 pm. Although our offices are in Seattle, Washington and Chicago, Illinois, the firm reviews securities fraud cases throughout the country. During an extreme volatility event, LJMs value dropped 80% in February 2018 causing the fund to liquidate and close, resulting in thousands of dollars in losses for Newbridges customers. SLCGs founder says the secrecy surrounding Finra data and the amount of data that Finra expunges on firms and brokers disciplinary history made this research a Herculean effort., We have moved significantly closer to a first-best ranking by using information on BrokerCheck reports which identifies the employing firm where the complaint about conduct occurred. trial lawyer who has handled hundreds of securities cases during his career Your email address will not be published. I use this blog to bring attention to regulatory filings involving financial advisors, current events in securities and cases in the financial services industry, and to help investors understand their rights and options for financial recovery. NFSG Promotes Jennifer Dorfman as CCO of its RIA Therefore, Newbridge Securities Corporation may be liable for investment or other losses suffered by Jeffrey Eglow's customers. November 2016 Former Newbridge Securities broker Gerald Cocuzzo pleaded guilty to securities fraud for his role in an alleged $131 million market manipulation scheme. -, Wednesday December 11, 2019 8:00 AM EST 2015 by The White Law Group, LLC All rights reserved. Member FINRA/SIPC, Steven Perlstein Joins Newbridge Financial, Inc. as its Vice President of Business Development for Digital Products and Services, Newbridge Securities Corporation Hires Sonni Johnson to Head its Business Development/National Recruiting Initiatives, NFSG Promotes Jennifer Dorfman as CCO of its RIA, Newbridge Securities Corporation Hires Peter Czarnomski to Head Customer Service Group, Newbridge Securities Corporation Recruits Chad Champion, Managing Director, Head of Equity Capital Markets, B. Riley Financial Announces Offering of $100 Million Senior Notes Due 2028 and "BBB+" Rating from Egan-Jones. 100% online. GABRIEL MARTIN ANTUNA at NEWBRIDGE SECURITIES CORPORATION - View Complaints, Disclosures, Scams and Audit Report (Updated 2023) April 8, 2023. Peter Goffin is a Financial Advisor at Newbridge Securities Corporation in Boca Raton, FL. Fined $499K, this time by the Pennsylvania Department of Banking and Securities, for their failure in supervising a particular broker. Dedicated to the representation of investors in claims against their financial professional or brokerage firm, The White Law Group has the expertise to help investors defrauded in securities, investment and financial business transactions. 2019, FINRA fined Newbridge Securities Corporation $250,000 and Bruce Jordan As a result, investors ended up paying far more than was necessary or appropriate given the circumstances. Financial Industry Regulatory Authority records show that he is a broker based in Fort Lauderdale, Florida, also operating as an insurance agent with Philip Gibson Insurance. -, Tuesday May 18, 2021 11:00 AM EST -, 11-04-2019 - Newbridge Securities Corporation Recruits New York City Based Asset Management Group and Winter Park, Florida Group Advising in Excess of $400 Million in Client Assets, 10-12-2019 - Newbridge Securities Corporation Enters into 5-Year Clearing Agreement with Axos Clearing LLC, 2023 Newbridge Securities All Rights Reserved. Brief and amiable onboarding is the first thing a new user sees in the theme. Newbridge Securities Corporation Broker Misconduct. Loading. Required fields are marked *. The firm was ordered to pay a fine of $499,000. 10-12-2019 - Newbridge Securities Corporation Enters into 5-Year Clearing Agreement with Axos Clearing LLC. Newbridge investors that are concerned about their investment losses can call 1-888-614-9356 for a free consultation on investment loss recovery options from one our experienced investment attorneys. Do you have a complaint about Newbridge Securities? 0. Churning, failure to supervise, omissions, and misrepresentations can be possible grounds for filing a FINRA arbitration claim against the firm for recovery of losses. Newbridge Securities Financial Advisor, Peter Goffin, Has Nine Customer Complaints. These are brokers who have a history of violations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dean Nowak at Newbridge Securities Corp. and Taylor Capital Management on alert to review carefully the activity and . Newbridge Securities Corp., a mid-sized broker-dealer based in Boca Raton, FL with 33 regulatory event disclosures, has a history of compliance problems. The firm was ordered to pay a fine of $499,000. You should consult an attorney for individual advice regarding your own situation. According to publicly available records against Newbridge on behalf of a Glendale, Arizona resident, requesting damages for alleged violation of common law fraud, breach of fiduciary duty, negligence, and negligent supervision. Pick all the topics you are interested in to fill your homepage with stories you'll love. Their employing brokerage firm has a legal and regulatory Life insurance and alternative investments are among the services provided by GWG Holdings, a financial services company with its headquarters in Dallas. The worst of these firms are truly extraordinary, McCann said. Davis has been registered with Newbridge Securities Corporation in New York, New York since 2006. . FINRA sanctioned the firm after allegations that it engaged in corporate bond transactions in which it failed to buy or sell the bonds at a fair price taking into consideration all applicable circumstances. The claim alleges former Newbridge financial advisor Lawrence Labine (Larry Labine), unsuitably invested his client in high risk alternative investments. GWG listed several factors in its filing for bankruptcy protection, including liquidity problems and an SEC probe. In August 2010, FINRA found that Newbridge Securities was guilty of facilitating the manipulation of trades, a direct violation of SEC Rule 10b-5. The extravagant claims should be a red flag that the broker is a scam. Our firm represents investors in all types of securities related claims, including claims involving stock fraud, broker misrepresentation, churning, unsuitable investments, selling away, and unauthorized trading, among many others. After hearing arguments from attorneys representing Utah and abortion providers, state court judge Andrew Stone stated that he would rule on Planned Parenthoods motion to defer the [], Experimenting with radiation to treat irregular heartbeat, ALLY INVEST SECURITIES LLC (CRD#: 136131) :: 11/29/2017 3/18/2019 :: FORT LAUDERDALE, FL, AXA ADVISORS, LLC (CRD#: 6627) :: 8/20/2012 10/30/2017 :: FT. LAUDERDALE, FL, INVESTACORP, INC. (CRD#: 7684) :: 3/30/2006 11/12/2009 :: MIAMI, FL, NATIONAL FINANCIAL SERVICES LLC (CRD#: 13041) :: 7/12/2005 3/8/2006 :: BOSTON, MA, E*TRADE PROFESSIONAL TRADING, LLC (CRD#: 39293) :: 5/25/2004 5/25/2005 :: NEW YORK, NY, CHASE INVESTMENT SERVICES CORP. (CRD#: 25574) :: 1/7/2004 1/13/2004 :: CHICAGO, IL, JEMMINI SECURITIES, LLC (CRD#: 119665) :: 9/23/2003 12/2/2003 :: NEW YORK, NY, AXA ADVISORS, LLC (CRD#: 6627) :: 10/16/1998 11/22/2002 :: NEW YORK, NY, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#: 4039) :: 10/16/1998 1/5/2000 :: NEW YORK, NY, WALL STREET EQUITIES INCORPORATED (CRD#: 18432) :: 10/25/1995 8/25/1998 :: NEW YORK, NY, WALL STREET INVESTOR SERVICES (CRD#: 10012) :: 5/12/1995 7/18/1995 :: NEW YORK, NY, INVESTEX SECURITIES GROUP, INC. (CRD#: 30094) :: 2/6/1995 6/5/1995 :: NEW YORK, NY, NATIONAL DISCOUNT BROKERS (CRD#: 27501) :: 10/3/1994 12/8/1994 :: OMAHA, NE, CHARLES SCHWAB & CO., INC. (CRD#: 5393) :: 3/13/1992 9/30/1994 :: SAN FRANCISCO, CA, WATERHOUSE SECURITIES, INC. (CRD#: 7870) :: 3/14/1989 5/29/1991 :: OMAHA, NE, OMNI MUTUAL, INC. (CRD#: 10243) :: 12/16/1987 4/14/1988, AUSTIN SECURITIES, INC. (CRD#: 17094) :: 9/18/1987 11/16/1987, WALL STREET DISCOUNT CORPORATION (THE) (CRD#: 11069) :: 3/5/1987 9/17/1987, BROOKS WEINGER ROBBINS & LEEDS INC. (CRD#: 14156) :: 9/24/1986 3/12/1987, VENUS INTERNATIONAL GROUP, LTD. (CRD#: 16722) :: 8/13/1986 9/24/1986, BROOKS WEINGER ROBBINS & LEEDS INC. (CRD#: 14156) :: 12/17/1985 5/20/1986.
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