Category: Jeffries

Financial Advisor Theodore Serure Suspended by FINRA For Four Months

Theodore Serure (CRD#: 419023) is a formerly registered Investment Adviser and a registered Broker at Jefferies, LLC in New York, NY. Broker’s Background He entered the securities industry in 1969 and previously worked for J.P. Morgan Securities, LLC; Bear, Stearns & Co., Inc.; and Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations […]

SEC Sanctions Multiple Brokerage Firms Over Text Messaging And WhatsApp

In September 2022, nine firms in total were found by the United States Securities and Exchange Commission (SEC) to be out of compliance with the federal agency’s recordkeeping and supervision regulations. These companies include: Barclays Capital, Inc. Citigroup Global Markets, Inc. BofA Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman Sachs & […]