Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 list 10 brokers and/or investment advisers reported as having received suspensions from association with FINRA member firms in February 2019. The investment professionals included below have signed letters of Acceptance, Waiver and Consent (AWC Letters) consenting to FINRA’s sanctions;…

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Publicly available records provided by FINRA and accessed on March 17, 2019 list 10 investment representatives who were reported in February 2019 as subject to disciplinary actions barring them from association with FINRA member firms. The individuals listed below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions;…

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