Michael Coomes (CRD #: 2699173), a broker registered with Cadaret, Grant & Co., Inc., has been fined by Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record, accessed on September 16, 2020. On August 24, 2020, Mr. Coomes entered into an Acceptance, Waiver & Consent (AWC) agreement with FINRA, in which he consented to…

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Raz Razvi (CRD#: 3042006), formerly of Lincoln Financial Securities Corporation (CRD#: 3870), has been suspended from the securities industry by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on March 16, 2020. What happened to lead to Razi Razvi’s suspension by FINRA? It all began on April 9, 2018, when a…

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Ray Thomas  (CRD#: 1675282), a former registered representative with Network 1 Financial Securities, Inc. (13577), is currently the subject of a Financial Industry Regulatory Authority (FINRA) regulatory action, according to his BrokerCheck record accessed on March 16, 2020.  On March 6, 2020, the FINRA Department of Enforcement filed a complaint against Ray Thomas, alleging that…

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