{"id":2892,"date":"2015-10-19T00:00:00","date_gmt":"2015-10-19T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/"},"modified":"2018-10-08T12:40:41","modified_gmt":"2018-10-08T16:40:41","slug":"rainmaker-securities-sanctioned-by-regulators-for-multiple-violations","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/","title":{"rendered":"Rainmaker Securities Sanctioned by Regulators for Multiple Violations"},"content":{"rendered":"<\/p>\n

\"Rainmaker<\/p>\n

President Glen Anderson sanctioned along with Rainmaker Brokerage Firm<\/h2>\n

With six branches and 34 registered persons, Rainmaker Securities, LLC is in hot water with both FINRA and the SEC. Its president, Glen Anderson, is also included in the sanctions brought against the firm, according to official FINRA documents<\/a>. The allegations include failure to devote appropriate time, attention and resources to supervision of its financial advisors, among other allegations.<\/p>\n

Rainmaker Securities was registered with FINRA in 2005, and Anderson joined the brokerage firm as President in 2010. Rainmaker is approved to conduct business in the origination and sale of private placements. It is alleged that between June 2011 and September 2014, the firm\u2014under Anderson\u2019s direction\u2014consistently violated FINRA rules that required the firm to:<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

President Glen Anderson sanctioned along with Rainmaker Brokerage Firm With six branches and 34 registered persons, Rainmaker Securities, LLC is in hot water with both FINRA and the SEC. Its president, Glen Anderson, is also included in the sanctions brought against the firm, according to official FINRA documents. The allegations include failure to devote appropriate […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[596],"tags":[450,451],"class_list":["post-2892","post","type-post","status-publish","format-standard","hentry","category-securities-concentration","tag-multiple-violations","tag-rainmaker-securities"],"yoast_head":"\nRainmaker Securities Sanctioned by Regulators for Multiple Violations — Securities Arbitration Lawyers Blog — October 19, 2015<\/title>\n<meta name=\"description\" content=\"Check out the new article on Rainmaker Securities Sanctioned by Regulators for Multiple Violations on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Rainmaker Securities Sanctioned by Regulators for Multiple Violations — Securities Arbitration Lawyers Blog — October 19, 2015\" \/>\n<meta name=\"twitter:description\" content=\"Check out the new article on Rainmaker Securities Sanctioned by Regulators for Multiple Violations on silverlaw.com\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Rainmaker-Securities-Sanctioned-by-Regulators-for-Multiple-Violations-300x200.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Rainmaker Securities Sanctioned by Regulators for Multiple Violations — Securities Arbitration Lawyers Blog — October 19, 2015","description":"Check out the new article on Rainmaker Securities Sanctioned by Regulators for Multiple Violations on silverlaw.com","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/","twitter_card":"summary_large_image","twitter_title":"Rainmaker Securities Sanctioned by Regulators for Multiple Violations — Securities Arbitration Lawyers Blog — October 19, 2015","twitter_description":"Check out the new article on Rainmaker Securities Sanctioned by Regulators for Multiple Violations on silverlaw.com","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Rainmaker-Securities-Sanctioned-by-Regulators-for-Multiple-Violations-300x200.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Rainmaker Securities Sanctioned by Regulators for Multiple Violations","datePublished":"2015-10-19T04:00:00+00:00","dateModified":"2018-10-08T16:40:41+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/"},"wordCount":449,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Rainmaker-Securities-Sanctioned-by-Regulators-for-Multiple-Violations-300x200.jpg","keywords":["Multiple Violations","Rainmaker Securities"],"articleSection":["Securities Concentration"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/","url":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/","name":"Rainmaker Securities Sanctioned by Regulators for Multiple Violations — Securities Arbitration Lawyers Blog — October 19, 2015","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Rainmaker-Securities-Sanctioned-by-Regulators-for-Multiple-Violations-300x200.jpg","datePublished":"2015-10-19T04:00:00+00:00","dateModified":"2018-10-08T16:40:41+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Check out the new article on Rainmaker Securities Sanctioned by Regulators for Multiple Violations on silverlaw.com","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Rainmaker-Securities-Sanctioned-by-Regulators-for-Multiple-Violations-300x200.jpg","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/Rainmaker-Securities-Sanctioned-by-Regulators-for-Multiple-Violations-300x200.jpg"},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/rainmaker-securities-sanctioned-by-regulators-for-multiple-violations\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Rainmaker Securities Sanctioned by Regulators for Multiple Violations"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2892","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=2892"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2892\/revisions"}],"predecessor-version":[{"id":7206,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2892\/revisions\/7206"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=2892"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=2892"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=2892"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}