RANK Broker-dealer Total gross revenues 1 LPL Investment Holdings Inc. $2.8B • LPL Financial One Beacon St. Boston, MA 02108 joinlpl.com (888) 250-2420 $2.6B • Uvest 2810 Coliseum Centre Drive Charlotte, NC 28217 uvest.com (800) 277-8802 $195.2M 2 Ameriprise Financial Services Inc. 108 Ameriprise Financial Center Minneapolis, MN 55474 ameriprise.com (612) 671-3131 $2.0B 3 Raymond [...]
Filed under: Securities Fraud | Comment (0)
FINRA recently announced that Jennifer Evelyn Cheeseman, a former financial advisor with NY Life Securities in Stapleton, Alabama, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cheeseman consented to the described sanctions and to findings that she altered term life insurance policies in order to [...]
Filed under: Securities Fraud | Comment (0)