August 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreAugust 6, 2015 Steven P. Goldberg , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…
read moreAugust 4,2015 Ronald J. Benevento of Holbrook, NY, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…
read moreAugust 9, 2015 Wells Fargo Advisors entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…
read moreApril 2018 Update-Berger pleads guilty to fraud. July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…
read moreJuly 30, 2015 Malcolm Jamal Babin of Baton Rouge, LA , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreJuly 20, 2015 Andrew Joseph Thomas of Boerne, Texas, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…
read moreJuly 24, 2015 Charles Myrick Winstead of Byram, MS, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…
read moreJuly 27, 2015- Boca Raton, Florida The FBI announced today the indictment of eight individuals for participating in securities fraud involving Thought Development Inc., a Miami Beach based company claiming…
read moreDECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…
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