July 2016- Dallas, TX FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from…
read moreJANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…
read moreBarry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…
read moreAugust18, 2015, Mark Brian Quimby, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…
read moreRichfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7…
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