Author: D. Daxton White
Arthur Espinoza Barred from the Securities Industry
According to FINRA, Arthur Espinoza (CRD #1344849, Port Saint Lucie, Florida) submitted an AWC in which he was barred from association with...
Douglas Simanski Barred from Securities Industry
According to FINRA, Douglas P. Simanski (CRD #2606998, Lilly, Pennsylvania) submitted an AWC in which he was barred from association with...
FINRA fines UBS $250,000 for Overcharging Mutual-fund Customers
According to the Financial Industry Regulatory Authority (FINRA) a unit of UBS Group AG will pay a $250,000 fine to settle charges that...
