Patrick L. Garrett , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…
read moreAugust 7, 2015- Edna, Texas Marcus Farquhar , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…
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 moreAugust 12, 2015- Dallas, Texas VCA Securities (formerly Bluffview Securities) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreAugust 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
read moreAugust 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
read moreJuly 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…
read moreOctober 26, 2015- Bethesda, Maryland H. Beck, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…
read moreOctober 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…
read moreAugust 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
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