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A National Securities Arbitration & Investment Fraud Law Firm

Updated:

FINRA Revokes Individuals Licenses for Failing to Comply with FINRA Rules in December 2015

According to FINRA Disciplinary actions for December 2015, the following individuals were revoked from FINRA for failing to pay fines and/or costs pursuant to FINRA rules:

NAME

FORMER EMPLOYERS

  Richard Dwayne Blair   Wealth Solutions, Inc.
  IMS Securities, Inc.
  Eul Hyung Choi   SH Investment & Securities
  Hanmi Asset Securities, Inc.
  Gary Mark Giblen   R.F. Lafferty & Co., Inc.
  Petersen Investments, Inc.
  Clavin Burchard Grigsby   Securities Capital Brokerage, Inc.
  Grigsby & Associates, Inc.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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