Joseph Mahmud (CRD #5626765, Registered Representative, Brooklyn, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with[...]
Investment Loss Investigations
Adrienne Marie Llamas (CRD #4203041, Registered Supervisor, Long Beach, California) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association[...]
Adorean Boleancu (CRD #4839991, Registered Representative, Napa, California) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any[...]
Darrell Wayne Mikulencak (CRD #2661351, Registered Representative, Washington, Missouri) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended[...]
Mark Allen Larson (CRD #1458125, Registered Representative, Stillwater, Minnesota) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with[...]
Scott Lawrence Olson (CRD #711256, Registered Principal, Melbourne, Florida) submitted an Offer of Settlement in which he was censured, fined $10,000, suspended from association with[...]
Douglas Evan Greenberg (CRD #2298830, Registered Representative, Lake Oswego, Oregon) submitted a Letter of Acceptance, Waiver and Consent in which he was censured and fined[...]
Theodore Edward Williams Jr. (CRD #468315, Registered Representative, Lake Forest, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000[...]
Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and[...]
Orion Trading, LLC (CRD #43932, Orlando, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $50,000. See[...]