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 Lance Nathaniel Scida (a registered representative in Wichita, Kansas) and Dennis Dale Bailey (a registered representative in Highlands Ranch, Colorado) submitted an Offer of Settlement in which they were suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the allegations, Scida and Bailey [...]
Filed under: Securities Fraud | Comment (0)