A National Securities Arbitration & Investment Fraud Law Firm
The SEC handles the protection of fostering transparent and competitive markets that are financially sound. In order to achieve this, the SEC issues regular fraud warnings regarding certain types of financial instruments in order to protect consumers and brokers. The SEC’s recommendations can be used as a useful tool to…
Within the United States there has been a severe crack down on the trading of securities since the sub-prime mortgage crisis in 2008. The reason for this is that there was far too little regulation on how securities are traded and whether investors were receiving full disclosure on the nature…
According to FINRA Disciplinary actions for November 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Donald C.…
According to FINRA Disciplinary actions for November 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Joseph Orazio Degregorio Garden State Securities, Inc. First Standard Financial Company LLC …
According to FINRA Disciplinary actions for November 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Christina Albert…
According to FINRA Disciplinary actions for October 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Nicholas Esteban…
According to FINRA Disciplinary actions for October 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS James Curtis Ackerman Sloan Securities Corp. Sloan Investment Advisors LLC David Charles…
According to FINRA Disciplinary actions for October 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Kayla Jo…
According to FINRA Disciplinary actions for September 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Christina Albert…
According to FINRA Disciplinary actions for September 2017, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Alvin Wayne Blancett Raymond James Financial Services, Inc. Merrill Lynch, Pierce, Fenner &…