Jim Eugene Scala Jr. (CRD #2493873, Registered Representative) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from[...]
Investment Loss Investigations
Tiffany Lea Chamberlain (CRD #4204733, Registered Principal) submitted an Offer of Settlement in which she was fined $7,500 and suspended from association with any FINRA[...]
Glen Edward Smith Jr. (CRD #1023145, Registered Principal) submitted an Offer of Settlement in which he was barred from association with any FINRA member in[...]
Alan Richard Joyce (CRD #1683601, Registered Principal, Jacksonville, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended[...]
George Robert Hunt (CRD #2568842, Registered Principal) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000, suspended from association with[...]
Johan Mary-Lyn Akal (CRD #4050242, Registered Representative) was barred from association with any FINRA member in any capacity. See FINRA Case #2011030662501. Akal was registered[...]
Lampost Capital, L.C. (CRD #43706) and Gregg Allan Pollack (CRD #2653630, Registered Principal) submitted a Letter of Acceptance, Waiver and Consent in which the firm[...]
FINRA permanently has barred Fort Lauderdale, Florida registered representative Jeffrey Brett Rubin (CRD #2919082) from the securities industry following an investigation which revealed that Rubin[...]
Richard Alan Seligson (CRD #3169733, Registered Representative, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000, suspended[...]
Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association[...]