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

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According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in September, a number of brokers and/or investment advisers were reported in that month as barred from associating with FINRA firms. 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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