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Tag Archives: Edward
Sears Won’t Close Yet as Its Chairman, Edward Lampert, Fends Off Creditors
Mr. Lampert, a hedge fund manager, was the only bidder in a closed-door auction this week who sought to keep Sears operating as a “going concern.” Read more detail on Recent Business Law posts –
Posted in Business law
Tagged chairman, Close, CREDITORS, Edward, Fends, Lampert, Sears, wont
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Curt Howard-Former Edward Jones Broker-Subject of $1M Customer Suit-Monahans, TX/ Sapulpa, OK
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. September 2018-Sapulpa, OK / Mobile, AL /Monahans, TX According to publicly available records Curtis Lee Howard , a stockbroker who formerly worked for Edward Jones and who is currently registered with Harbor Financial Services, … Continue reading
Posted in Securities Law
Tagged BrokerSubject, Curt, Customer, Edward, HowardFormer, Jones, Sapulpa, SuitMonahans
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Edward Schiavi Terminated From Securities America Over Alleged Compliance Failure
Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former New Mexico-based Securities America broker/adviser Edward Schiavi was discharged from his former employer in connection to alleged rule violations and is … Continue reading
Posted in Securities Law
Tagged Alleged, America, Compliance, Edward, Failure, over, Schiavi, Securities, Terminated
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The SEC’s “Best Interest” Proposal – A Step Forward or a Set Back? FiduciaryNews, ft. Tad Devlin and Edward “Ted” McNamara
Tad A. Devlin, partner with Kaufman Dolowich & Voluck in San Francisco, and Edward “Ted” McNamara, attorney in the KDV Fort Lauderdale office, were quoted in an article written by Christopher Carosa for FiduciaryNews published on September 5, 2018. After years … Continue reading
Edward Wedbush Under Regulatory Scrutiny by NYSE Concerning Allegations of Failure to Supervise Certain Trades
On October 16, 2017, NYSE Regulation — the regulatory enforcement subsidiary of NYSE Arca, Inc. (“NYSE”) — filed a Complaint against Wedbush Securities Inc. (“Wedbush”) (CRD# 877), and its founder, Mr. Edward Wedbush. The Complaint centers on Wedbush’s alleged systemic … Continue reading
Posted in Securities Law
Tagged Allegations, Certain, Concerning, Edward, Failure, NYSE, Regulatory, scrutiny, Supervise, trades, under, Wedbush
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