Publicly available records published by FINRA and accessed on January 18, 2018 list more than a dozen investment representatives who were reported in December 2018 as barred from associating with Financial Industry Regulatory Authority member firms. The brokers enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary…

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The Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in December 2017 reports the suspensions, whether in all capacities or in a principal capacity, of more than 30 brokers and/or investment advisers. Many of these suspensions were accompanied by monetary penalties, such as fines, disgorgement and restitution. The below individuals have signed letters…

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The Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in December 2017 includes fifteen brokers and/or investment advisers who were reported as barred from affiliating with FINRA member firms. The following representatives have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions without admitting or denying the alleged underlying…

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