Park Avenue Securities Finra
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1 2013 through march 3 2015 park avenue securities allegedly failed to establish maintain and enforce a supervisory system and written supervisory procedures reasonably designed to.
Park avenue securities finra. Park avenue securities is a wholly owned subsidiary of the guardian life insurance company of america and is located at 10 hudson yards new york ny 10001. Park avenue securities llc crd 46173 sec 8 51324 main office location 10 hudson yards new york ny 10001 regulated by finra new york office mailing address. According to finra from jan. S oreide law group obtained the following information from finra s january 2017 disciplinary report.
As a result of a finra investigation park avenue securities llc was recently censured and fined 175 000. Brokercheck is a trusted tool that shows you employment history certifications licenses and any violations for brokers and investment advisors. Park avenue securities is a wholly owned subsidiary of the guardian life insurance company of america and is located at 10 hudson yards new york ny 10001. P ark avenue securities llc was fined 300 000 00 and censured by the financial industry regulatory authority inc.
Without admitting or denying the findings park avenue securities consented to the described sanctions and to the entry of findings that it conducted an inadequate investigation of its representatives involvement in a ponzi scheme and of allegations two registered representatives made. Finra for its supervision of variable annuity va sales. Howley of rumson new jersey a stockbroker registered with park avenue securities llc is the subject of a customer initiated investment related arbitration claim which was settled for 236 458 33 in damages based upon allegations that 1 the customer was placed into fraudulent investments that had been recommended. Securities products services and advisory services offered through park avenue securities llc a registered broker dealer and registered investment adviser.
Park avenue securities llc a securities broker dealer headquartered in new york new york has been censured by financial industry regulatory authority finra supported by findings that 1 customers were excessively charged by the firm on mutual fund transactions and 2 the firm failed to adequately supervise its sales charges waivers to. Securities products services and advisory services offered through park avenue securities llc a registered broker dealer and registered investment adviser.