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Jefferies Group

en.wikipedia.org/wiki/Jefferies_Group

Parent · Leucadia National Corporation. Website, jefferies.com. Jefferies LLC is an American global investment bank and institutional securities firm ... merger, Jefferies & Company, Inc....

Pacific West Securities ordered to pony up $2.1M over TICs

www.investmentnews.com/article/20120313/FREE/120319964/pacific-west-securities-ordered-to-pony-up-2-1m-over-tics

Mar 13, 2012 ... tenant in common exchanges Pacific West Finra arbitration ... million to a former client of a broker affiliated with Pacific West Securities Inc. ... a recruiting deal to move its brokers to Multi-Financial Securities Corp., one of the ...

Broker-Dealer Pacific West to Close Its Doors - ThinkAdvisor

www.thinkadvisor.com/2011/12/06/broker-dealer-pacific-west-to-close-its-doors

Dec 6, 2011 ... Multi-Financial Securities signs recruiting agreement for Pacific West reps ... Securities Corp., to “bring over select advisors from Pacific West and ... key role and also parent company Cetera Financial Group's leadership team.

35th Annual Northwest Securities Institute - Oregon State Bar

www.osbar.org/cle/library/2015/NWSI15_Handbook.pdf

Apr 18, 2015 ... 11:30 SEC Corporation Finance Developments ..... Pacific West Securities, Inc.— S-09-048-13-CO02 & S-10-249-14-CO02— ...... appealed, arguing that (1) in the case of Oppenheimer, one of Tremont's parent companies, the.

Securities Fraud Cases: Investment Adviser Faces SEC Charges ...

www.stockbrokerfraudblog.com/2015/12/securities_fraud_cases_investm.html

Dec 18, 2015 ... The Securities and Exchange Commission is filing fraud charges against ... to a brokerage firm whose parent company is part owner of AAM.

Pacific Life: Home

www.pacificlife.com/

For more than 145 years, Pacific Life has offered life insurance, annuities, ... Pacific Life's products are sold through financial planning firms, securities ... Pacific Life refers to Pacific Life Insurance Company and its affiliates, ... Variable annuity sales rankings from Morningstar, Inc., Variable Annuity Sales and Asset Sur...

NRP Financial Inc. :: Stock Broker Fraud Blog

www.stockbrokerfraudblog.com/brokerage_firms/nrp_financial_inc/

Jan 10, 2012 ... Securities Fraud Lawsuit Names NRP Financial Inc. in $150M Minnesota Ponzi Scam ... National Retirement Partners Inc., which is NRP Financial's parent, sold its assets ... Holdings spokesperson, the company is not named in the securities ... Oppenheimer · Pacific West Securities · Park Financial Group ...

financialadvisorplacementervices - News Articles

www.financialadvisorplacementservices.com/news-articales.html

Larry Roth, the CEO of Cetera and its parent company, RCS Capital, told advisers ..... Allied Securities Inc., Investors Capital Corp. and Summit Financial Services ..... First Allied from Advanced Equities; Pacific West Securities closed down and ...

SIPC - List of Members

www.sipc.org/list-of-members

SECURITIES INVESTOR PROTECTION CORPORATION ... 1ST BRIDGEHOUSE SECURITIES LLC. MIAMI , FL. 1ST DISCOUNT BROKERAGE INC.

UNITED STATES DISTRICT COURT WESTERN DISTRICT OF ...

www.buckleysandler.com/uploads/1082/doc/Bank_of_America_COMPLAINT_(W.D.N.C.,_6_Aug_13).pdf

Aug 6, 2013 ... As the sole corporate parent of BOA-Bank and BOA-Securities, BOA-Corp. ... Defendant Banc of America Mortgage Securities, Inc. is a corporation organized .... First Federal Bank of California, Pacific Western Bank, Nevada ...

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Pacific West Securities Shuts Down, With Many Brokers To Be ...

news.efinancialcareers.com

Dec 8, 2011 ... Pacific West Securities, an independent broker dealer with about 290 affiliated ... Multi-Financial Securities Corp. and Pacific West are now ...

Distribution Platforms - Buffalo Funds

www.buffalofunds.com

Asset Management Securities Corporation ... Banc West Investment Services, Inc ... BBVA Securities Corporation of Puerto Rico ... Euro Pacific Capital, Inc. ..... limited voting rights, potential dependence on parent companies or sponsors for  ...

Texas Securities Scam Allegedly Bilked Investors of $4.4M :: Stock ...

www.stockbrokerfraudblog.com

Apr 18, 2015 ... Texas Securities Scam Allegedly Bilked Investors of $4.4M :: Stock Broker Fraud Blog. ... Energy Corporation, the publicly traded parent company of Mieka, of fraud and ... SEC Charges Texas Oil Company and Its Founder with Securities ... Securities; Ameriprise - Securities America · Amerivet Securities Inc.