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[...]
Investment Loss Investigations
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[...]
David Lerner Associates has been sanctioned by FINRA for allegedly committing unfair practices in the sale of Apple REIT Ten and for excessive markups in[...]
Michael Todd Crosswhite has admitted to committing a $1 million Ponzi scheme while working as a Financial Advisor under the umbrella of Allianz Life Insurance[...]
Andrew Rosenberg has submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority after he was accused of violations to[...]
As JP Morgan falls deeper and deeper into the center of attention of the media, it is beginning to be clear that the problems the[...]