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[...]
Investment Loss Investigations
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[...]
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[...]
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[...]