FINRA

Live / Registered — Registered and renewed (as of 12 Jun 2019)

What this means for you

Registered since 07 Apr 2009. The owner can stop confusingly similar uses in the classes it covers; it stays on the register as long as the owner keeps up the maintenance filings (next due by 07 Apr 2019).

Record

Serial number
77976554
Registration number
3604224
Mark type
Stylized text
Filed
10 Jul 2007
Published for opposition
22 Apr 2008
Registered
07 Apr 2009
Next maintenance due
07 Apr 2019
Attorney of record
Aaron D. Hendelman

Goods and services

  • Class 009 — Scientific and electric apparatus: Computer software containing accessible databases and computer software used to access online databases, both pertaining to licensing, employment and disciplinary information of professionals in the securities and investment advisor industries; computer programs for training, testing, and certification of professional and employment skills and abilities; downloadable podcasts with information related to securities, equities and financial investments
  • Class 014 — Jewelry: Lapel pins [ and watches ]
  • Class 016 — Paper goods and printed matter: Printed matter, namely, manuals, newsletters, brochures, pamphlets and leaflets regarding regulations and requirements pertaining to the securities and investment advisor industries and corporate bonds; and regarding databases containing employment, licensing and disciplinary information on professionals in the securities and investment advisor industries; printed educational materials regarding regulation in the area of securities, investor education, trading of securities and corporate bonds, the securities and investment advisor industries and corporate bond markets; business cards; stationery; notepads; pens
  • Class 035 — Advertising and business services: Providing services to regulate the securities industry in order to maintain the integrity of the marketplace for the benefit and protection of investors, namely, providing and maintaining a registry of member firms and their employees, investment advisors and individuals and entities within the securities and investment industry; promoting the services of others, namely, advertising and marketing a series of discounted insurance, mail delivery and telecommunications services to members; on-line retail store services featuring booklets and manuals dealing with the securities and investment industry, and featuring clothing, hats, bags, office supplies and accessories, watches, paper goods, umbrellas, and coffee mugs; business services for others, namely, providing an online database featuring employment and disciplinary information regarding professionals in the securities and investment advisor industries; providing for others an on-line computer database with information regarding the professional background, business practices and conduct of registered financial brokerage firms and their registered employees and investment advisors; providing for others information regarding the professional background, business practices and conduct of registered financial brokerage firms and their registered employees in response to telephone and email inquiries; providing for others monitoring and information concerning securities markets around the world to determine compliance with regulations; association services, namely, creating and enforcing rules that govern the conduct of securities investment firms and their employees; regulating the securities and investment industries, namely, enforcement of securities regulations and securities trade rules, investigation to evaluate compliance with securities regulations and securities trade rules, disciplining securities firms and individuals who violate securities rules and laws, and investigation of investor complaints regarding the business conduct of an investment firm or professional; testing and examination to determine professional competency of brokerage firms and their employees
  • Class 036 — Insurance and financial services: Financial consulting services for others, namely, providing analysis of securities market regulations, management and operations, providing advice regarding the structure and regulation of securities markets; providing an on-line computer database of information in the field of securities and equities trading, corporate bond transactions, securities regulation, financial investments, namely, securities, securities firms, broker/dealers and investment advisors, grants, investor protection, and rules to govern securities day-trading activities; providing an on-line computer database with information regarding pricing and quotes for bonds, equities and securities, reports on bonds, equities and securities trades, and comparisons of bonds, equities and securities trades
  • Class 041 — Education and entertainment services: Educational services, namely, conducting seminars, conferences and workshops in the fields of securities regulation and compliance, investor education, and providing continuing education programs for securities industry professionals
  • Class 045 — Legal and security services: Arbitration, mediation and dispute resolution services

Owner

Prosecution history

  • 14 Mar 2024 — TEAS CHANGE OF CORRESPONDENCE RECEIVED
  • 14 Mar 2024 — ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
  • 14 Mar 2024 — TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
  • 14 Mar 2024 — APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED
  • 14 Mar 2024 — TEAS CHANGE OF OWNER ADDRESS RECEIVED
  • 12 Jun 2019 — NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED
  • 12 Jun 2019 — REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)
  • 12 Jun 2019 — REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED
  • 12 Jun 2019 — CASE ASSIGNED TO POST REGISTRATION PARALEGAL
  • 07 May 2019 — TEAS SECTION 8 & 9 RECEIVED
  • 07 Apr 2018 — COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED
  • 07 Jun 2017 — NOTICE OF SUIT
  • 07 Jun 2017 — NOTICE OF SUIT
  • 17 Jan 2017 — ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
  • 17 Jan 2017 — TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED

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