Companies similar to FINRA
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  • investigate-your-broker.com
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Stockbrokers are required to be licensed by the Financial Industry Regulatory Authority (FINRA) in order to sell securities. FINRA maintains records on each broker and brokerage firm. These records, which are freely available to the public, track the..
Relevance: 20.683868
  • www.myprelim.finance
Finding the correct FINRA Arbitrator is critically important - so we have created the ultimate site/database for analyzing them. We have the data from 20,000 FINRA Awards to search their history, decisions and awards... While we were at it, we added..
Relevance: 20.260384
  • www.gonserlawpc.com
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Broker and investment advisor records are now public through the FINRA Broker Check database. We assist brokers seeking expungement of negative disclosures on forms U4 and U5... Gonser Law PC handles mediations involving securities disputes between..
Relevance: 17.377117
  • www.fpima.com
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Fingerprint Innovations is a fingerprinting and background screening company. Contact us today... Fingerprint Innovations is only one of thirteen companies in the United States authorized to digitally capture and submit your Electronic Fingerprint..
Relevance: 17.040068
  • www.floridafingerprint.com
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Florida Fingerprint is a fingerprinting and background screening company. Contact us today... Florida Fingerprint is only one of thirteen companies in the United States authorized to digitally capture and submit your Electronic Fingerprint..
Relevance: 16.828127
  • fincocontrols.com
And, with FinCo Control's successful background in B/D Compliance, we can assist you in evaluating the Risk Management of your Firm's business, identify Revenue Generating opportunities, Reduce Expense items and provide guidance about the effects of..
Relevance: 16.569496
  • cbrandkamp.com
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Investing in a select number of individual companies with long track records, dividends, and consistent, reasonable growth Individual and retirement accounts... Securities and advisory services through LPL Financial, a Registered Investment Advisor,..
Relevance: 16.29587
  • safescanfingerprinting.com
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Safe Scan offers an array of fingerprinting and background check services to a variety of locations throughout Georgia. Fingerprinting can be done for various services such as FBI background checks, FINRA submissions, and more. Our custom live scan..
Relevance: 15.953464
  • firstmarksolutions.com
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FirstMark is a compliance consulting firm and does not offer legal, tax, accounting or auditing services... FINRA and SEC examinations, investigations, client complaints, FINRA OTRs, regulatory inquiries and FINRA membership applications are just a..
Relevance: 15.067311
  • www.finrafoundation.org
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FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers... FINRA, the Financial Industry Regulatory Authority, regulates all securities firms doing business in the United States...
Relevance: 14.895081
  • www.fortrend.net.au
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Fortrend Securities Pty Ltd (FSA) (ACN 055 702 693) was established in 1992. It holds an Australian Financial Services Licence issued by ASIC. Fortrend is licensed to advise and deal for wholesale clients in equities, bonds, derivatives margin and..
Relevance: 14.61114
  • thepenwellagency.org
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The Penwell Agency is the premiere provider of professional fingerprinting in the Golden Isles of Georgia. We offer mobile appointments as well as services in our office location. Same day appointments may also be available... The Penwell Agency..
Relevance: 14.527464
  • www.nylawstockfraud.com
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Our firm's attorneys have represented hundreds of investors and brokers, recovering millions of dollars in FINRA arbitration and Federal Court. Prospective investors and brokers should contact our firm for a free consultation. In most cases our firm..
Relevance: 14.496364
  • www.finra.org
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FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets... FINRA is authorized by Congress to protect America's investors by making sure the broker-dealer industry operates..
Relevance: 14.422601
  • www.firmscribe.com
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With FirmScribe, trust is not just a promise, it's the foundation of everything we do. Trusting in our ability to keep your team SEC and FINRA-compliant is a privilege that continuously drives us... Satisfy FINRA and SEC archiving regulations with..
Relevance: 14.300035
  • lawyermcloughlin.com
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Ian has litigated securities cases for twenty years. He has worked on the plaintiff's side, the defense side and as a regulator. This gives him a unique perspective, enabling him to realistically assess the merits of a case and provide no-nonsense..
Relevance: 14.284133
  • markhlevyandassociates.com
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For FINRA BrokerCheck Click Below All Securities and Investment Advisory Services Through KCD Financial, Inc. Member FINRA SIPC...
Relevance: 14.2664585
  • mitchatkinsfinrabrokerdealerconsulting.com
Mitch Atkins has 20 years of experience in multiple roles at FINRA, during which time he was a member of the Member Regulation Senior Management Team. At FINRA, he was designated as a national expert in mutual funds and variable insurance products...
Relevance: 14.207074
  • sgkeetonfinancial.com
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FINRA Broker Check Steve Keeton is an investment advisor representative of, and securities and advisory services are offered through, USA Financial Services Corp.(Member FINRA/SIPC). USA Financial Securities is a registered investment adviser located..
Relevance: 14.157352
  • mutualfunddirectory.org
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Provides current news & ranking info in one place on each investment company saving you time... FINRA fine of $350,000 on 6/15/21. Fine of $175,000 on 1/28/21 by FINRA. Citi to exit 13 markets in Q4... 10/19/21 SEC fine of $475 million. FINRA fine..
Relevance: 14.124899
  • mitchatkinsfinracmaconsultant.com
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Contact Mitch Atkins FINRA CMA Consultant for assistance in filing your FINRA CMA application. FirstMark Regulatory Solutions, Inc. 561-948-6511...
Relevance: 14.109969
  • www.stocklawyer.com
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Mr. Stephens, who has been licensed as an attorney since 1975, and served investors for decades, fights to recover damages to investors caused by improper stockbroker and advisor misconduct, such as fraud, broken promises, excessive trading,..
Relevance: 14.000564
  • www.herskovitslaw.com
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Herskovits PLLC is known for its tenacious defense of investigations, disciplinary proceedings and litigation initiated by Wall Street's regulators. When it comes to FINRA matters, you will be hard-pressed to find a law firm with more broad-based..
Relevance: 13.917946
  • www.nylawemployment.com
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You can lose your right to financial compensation and your job if your fail to timely act when you experience employment discrimination. Imbesi Christensen is a national law firm dedicated to representing employees who were victims of discrimination..
Relevance: 13.836175
  • www.pcbpartners.co.uk
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PCB Partners is a mergers & acquisitions advisory firm rooted in entrepreneurial culture. We work with companies who - like us - are agile and committed to lasting and positive outcomes... Securities are offered through Finalis Securities LLC Member..
Relevance: 13.828695
  • nowcapitaladvisors.azurewebsites.net
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Securities are offered through Finalis Securities LLC Member FINRA / SIPC. Now Capital Advisors is not a registered broker-dealer, and Finalis Securities LLC and Now Capital Advisors are separate, unaffiliated entities. Finalis Privacy Policy |..
Relevance: 13.819783
  • cadenceib.com
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Securities are offered through Finalis Securities LLC Member FINRA / SIPC. Cadence M&A Advisors LLC is not a registered broker-dealer, and Finalis Securities LLC and Cadence M&A Advisors LLC are separate, unaffiliated entities. Finalis Privacy Policy..
Relevance: 13.727326
  • www.wgnielsen.com
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W.G. Nielsen & Company is a registered broker/dealer and member of the Financial Industry Regulatory Authority (FINRA). Member FINRA | SIPC... W.G. Nielsen Co. is an investment banking firm, which specializes in mergers and acquisitions and..
Relevance: 13.673946
  • dilesconsulting.com
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Diles Consulting is a consulting firm offering nationwide financial consulting services. Continue reading to learn more... Developed and implemented the Risk Monitoring house-holding initiative, which enabled FINRA staff to monitor and assess risk..
Relevance: 13.633481
  • carletonlaw.net
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Mediation provides those facing disciplinary action the ability to resolve the matter in a less formal and potentially less costly manner than through a formal disciplinary hearing. Gary Carleton has extensive experience as both a former FINRA..
Relevance: 13.600175