Nettet4. jan. 2012 · Rumors are swirling that Legent Clearing LLC is about to be bought by private-equity investors — just months after a previous attempt to buy the firm failed. In … Nettet10. des. 2014 · Legent, which is headquartered in Omaha, provides clearing services to brokerage clients, and is now COR's wholly owned subsidiary. Filing 96 at ¶¶ 2, 4, 15. …
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Nettet16. des. 2013 · COR Clearing LLC, formerly Legent Clearing LLC, did not have an adequate program in place for monitoring potential money laundering by clients of the brokerage firms for which it clears securities ... NettetFrom January 2009 through early 2013, FINRA alleges that Legent Clearing LLC (“Legent”) did not have an AML program that was reasonably designed to monitor for, detect and report suspicious activity, especially in relation to its significant number of accounts conducting activity citic prudential life insurance company ltd
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NettetAxos Clearing Profile and History. Headquartered in Omaha, Nebraska, COR Clearing is a full-service, independent securities clearing firm servicing retail and online broker … Nettet16. des. 2013 · WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined COR Clearing LLC (formerly Legent Clearing LLC), … Nettet12. sep. 2011 · LEGENT CLEARING, LLC. Court: United States District Court, Northern District of Illinois. Date published: Sep 12, 2011. Citations Copy Citation. CASE NUMBER 09 C 794 (N.D. Ill. Sep. 12, 2011) Make your practice more effective and efficient with Casetext’s legal research suite. Get a Demo. Casetext research; Parallel Search; citicraze women\\u0027s clothing