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[...]
Investment Loss Investigations
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[...]
Tradewire Securities, LLC (CRD #142348, Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $125,000. See[...]
EFG Capital International Corp. (CRD #40118, Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $12,500.[...]
Clayton George Roach (CRD #2148512, Registered Representative, Jacksonville, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended[...]
James DeFranco Marshall (CRD #5450870, Registered Representative, Longwood, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended[...]
John Boyd Dexter (CRD #1354376, Registered Principal, North Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association[...]
The Financial Industry Regulatory Authority (FINRA) announced that it has expelled Hudson Valley Capital Management and barred its Chief Executive Officer, Mark Gillis, from associating[...]