Web Results

www.corclearing.com

Safeguarding Client Assets. COR Clearing is your trusted partner, safeguarding assets and protecting your information and that of your clients. Shaping Success. The People Behind COR Clearing. Hear from Senior Management and key employees our strategic vision for the future ...

www.corclearing.com/sites/default/files/document_library/COR_press_release_rename.pdf

1200 Landmark Center, Suite 800, Omaha, NE 68102-1916 | (800) 811-3487 | www.corclearing.com. LEGENT CLEARING RENAMED COR CLEARING. OMAHA; September 12, 2012—Legent Clearing, LLC, the leading independent correspondent clearing firm, announced today that it has changed its name to COR ...

www.corclearing.com/content/news-releases/legent-clearing-renamed-cor-clearing

OMAHA; September 12, 2012—Legent Clearing, LLC, the leading independent correspondent clearing rm, announced today that it has changed its name to COR Clearing LLC. The company will begin operating under the new name effective immediately. "We are proud to place the COR brand on the COR Clearing ...

www.finra.org/newsroom/2013/finra-fines-cor-clearing-llc-1-million-extensive-regulatory-failures

Dec 16, 2013 ... WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined COR Clearing LLC (formerly Legent Clearing LLC), of Omaha, Nebraska, $1 million for numerous failures to comply with anti- money laundering (AML), financial reporting and supervisory obligations.

www.linkedin.com/company/cor-clearing-llc

Learn about working at COR Clearing LLC. Join LinkedIn today for free. See who you know at COR Clearing LLC, leverage your professional network, and get hired.

corclearing.automatedfinancial.com

Password. Splash Page. Account Overview, Equity Order Entry, Option Order Entry, Mutual Fund Order Entry, Balances & Positions, Order Status, Account Activity, User Settings. Forgot your password? click here. © 2012 COR Clearing LLC, All Rights Reserved. Member FINRA, SIPC. You can review the latest compatible ...

www.sec.gov/about/offices/ocie/aml/finra-awc-legent.pdf

Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Legent Clearing LLC (Legent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,. FINRA will not bring ...

www.investmentnews.com/article/20120108/REG/301089994/private-equity-firm-takes-aim-at-small-players-in-b-d-space

Jan 8, 2012 ... COR Securities Holdings Inc. said last week that it had acquired Legent Clearing LLC, which is based in Omaha, Neb., and has 75 broker-dealer clients. At the same time, COR Securities Holdings said that it had made an offer to National Holdings Corp., which controls two independent broker-dealers with ...

nmsadvisors.com/clearing-firm

Jul 20, 2016 ... The assets in our client's accounts are protected in a number of important ways, starting with our custodial and clearing firm, COR Clearing, LLC. (“COR”). COR began as part of the Mutual of Omaha and evolved into the independent execution, clearing, settlement and custody platform known as Legent ...