Publicly available records published by FINRA and accessed on October 19, 2018 list six investment professionals who were reported as barred from associating with Financial Industry Regulatory Authority member firms this month. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary actions, without admitting to…

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in October, more than thirty brokers and/or investment advisers were reported in that month as suspended from associating with FINRA firms. The following registered representatives have agreed to these sanctions without admitting or denying the alleged underlying conduct. Some of these suspensions…

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in October, more than twenty dozen brokers and/or investment advisers were reported in that month as barred from associating with FINRA firms. The following registered representatives have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting…

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