July 10, 2015- Jose Palacio entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…
read moreJuly 14, 2015 Christopher Yoon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: lied to a life insurance…
read moreJuly 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…
read moreUPDATE MARCH 2017-In April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016. Smith currently discloses a total of 13 prior customer…
read moreJune 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…
read moreJuly 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…
read moreJune 19, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…
read moreJune 19, 2015 Morgan Stanley Smith Barney entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2009-November…
read moreJune 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay a customer over $1.2 million on claims of negligence, unsuitability, breach…
read moreApril 21, 2015 Daniel Grieco entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…
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