Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2018 indicate that FINRA reported over 15 brokers and/or investment advisers in November, 2018 as suspended from association with its member firms. The investment professionals documented below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s…

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Publicly available records published by the Financial Industry Regulatory Authority and accessed on December 6, 2018 indicate that FINRA reported more than 15 brokers and/or investment advisers in November as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions…

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According to the Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in November 2017, the regulatory authority reported the suspensions of more than three dozen brokers and/or investment advisers in that month. The following individuals have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these suspensions without admitting or denying…

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The Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in November 2017 includes eighteen brokers and/or investment advisers who were reported as barred from affiliating with FINRA member firms in all capacities. The following individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying…

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