October 16, 2015- Portland, Oregon James G. Christianson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…
read moreOctober 14, 2015- Fort Lauderdale, Florida Denny P. Darmodihardjo , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from September 2009-July…
read moreJuly 24, 2015- Atlanta, Georgia Phillip Dunwoody Cox, Jr. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…
read moreJuly 10, 2015- Dallas, Texas Joseph Charles Schroeder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…
read moreJuly 13, 2015- Lantana, Florida Ingrid M. Batchelor , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged…
read moreRichardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records. Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…
read moreJuly 13, 2015 Ingrid Bachelor entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…
read moreJuly 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…
read moreJune 22, 2015 Tyler Powell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he exercised discretion in a…
read moreUPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer. Our Original Post–March 6, 2015, Fair Oaks Ranch, Texas Barry S. Brower, entered into a Letter of…
read more