YET ANOTHER SOVERIEGN/GUNNALLEN/CHATFIELD AND DEAN ALUMNI PUSHING GUMM AND DOCUMENTED ON MESSAGE BOARD NO LESS MAY 7TH 1999.
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ragingbull.lycos.com
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By: lowhigh
07 May 1999, 09:37 PM EDT Msg. 9 of 368
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GunnAllen Financial is the brokerage firm that has been pumping this stock. Please call John Caveny at 1-800-713-4046 and ask him what happened to the 20 they predicted for this stock.
(Voluntary Disclosure: ST Rating- Strong Buy; LT Rating- Strong Buy)
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File for: Data Current as of: 05/14/2003
CRD# 1619345
JOHN FITZGERALD CAVENY
PREVIOUS EMPLOYMENT
This section provides 10 years of an individual's employment history. If the individual is currently registered with NASD, employment history will be displayed for the previous 10 years. If the individual is not currently registered with NASD, employment history will be displayed for the 10 years prior to termination of the registration. The firm's CRD number, the office of employment address where the broker was employed, and the dates of employment will be displayed.
To view information on NASD registered firms, you can click on the firm name hyperlink.
If the broker was previously employed with an investment adviser, the investment adviser's name and CRD number will display. However, additional information is not available on investment advisers through the Public Disclosure Program as they are not NASD registered firms.
If the broker was previously employed with a firm registered with any self-regulatory organization other than NASD (e.g., the NYSE), either the firm's name or "Other Business" will display as the Employing Firm. To obtain the firm's name when "Other Business" displays as the Employing Firm, please call the Public Disclosure Call Center Hotline number, 1-800-289-9999.
A Firm CRD Number will not display for employing firms that are not NASD registered firms. Information on these employing firms is not available through the Public Disclosure Program.
Employing Firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Firm CRD Number: 7691
Office of Employment
Address: BINGHAMTON, NY
Start Date: 12/2000
End Date: 12/2002
Employing Firm: GUNNALLEN FINANCIAL, INC
Firm CRD Number: 17609
Office of Employment
Address: VESTAL, NY
Start Date: 03/1997
End Date: 12/2000
Employing Firm: SOVEREIGN EQUITY MANAGEMENT CORP.
Firm CRD Number: 20016
Office of Employment
Address: TAMPA, FL
Start Date: 12/1995
End Date: 03/1997
Employing Firm: W.J. GALLAGHER & COMPANY, INC.
Firm CRD Number: 11097
Office of Employment
Address: TAMPA, FL
Start Date: 07/1995
End Date: 12/1995
Employing Firm: CHATFIELD DEAN & CO., INC.
Firm CRD Number: 14714
Office of Employment
Address: TAMPA, FL
Start Date: 06/1992
End Date: 07/1995
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« GUMM Message list | Reply to msg. | Post new msg. « Older | Newer »
By: lowhigh
07 May 1999, 09:37 PM EDT Msg. 9 of 368
Jump to msg. #
GunnAllen Financial is the brokerage firm that has been pumping this stock. Please call John Caveny at 1-800-713-4046 and ask him what happened to the 20 they predicted for this stock.
(Voluntary Disclosure: ST Rating- Strong Buy; LT Rating- Strong Buy) |
