April 15, 2014
PNC Investments LLC (CRD# 129052, Pittsburgh, Pennsylvania) recently submitted a
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April 15, 2014
Chase Investment Services Corp. (CRD #25574, Chicago, Illinois) recently submitted a
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July 15, 2013
Thomas Weisel Partners, LLC (CRD #46237, San Francisco, California) was fined
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July 15, 2013
Securities America, Inc. (CRD #10205, La Vista, Nebraska) submitted a Letter of
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July 15, 2013
Deutsche Bank Securities Inc. (CRD #2525, New York, New York) submitted a Letter of
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July 15, 2013
Amerprise Financial Services, Inc. (CRD #6363, Minneapolis, Minnesota) submitted as
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July 15, 2013
M.D. Sass Securities, L.L.C. (139760, New York, New York) submitted a Letter of
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July 15, 2013
Boenning & Scattergood, Inc. (CRD #100, West Conshohocken, Pennsylvania)
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March 7, 2013
The Tidal Group, Inc. (CRD #39782, Schertz, Texas) recentlysubmitted a Letter of
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March 5, 2012
MML Investors Services, LLC recently submitted a Letter of Acceptance, Waiver and
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