Mark Lamkin (CRD#: 2121510), a registered representative with Calton & Associates, Inc., (CRD#: 20999) in Louisville, Kentucky, has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on May 15, 2020. What happened to lead to Mark Lamkin’s suspension? Read on to learn more.  On March 30, 2020, Mark…

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Nate Clay (CRD#: 4525541), who formerly worked as a broker for Laidlaw & Company (UK) Ltd. (CRD#: 119037), has been suspended by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on April 27, 2020.  On March 18, 2020, Nate Clay failed to respond to FINRA’s request for information. As a result,…

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When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full March 2020 report can be viewed here.  In the most serious…

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