Author: D. Daxton White
Dedric Hillery Gill III barred from securities industry
FINRA recently announced that Dedric Hillery Gill III, a former registered representative with QA3 Financial Corp. in Omaha, Nebraska, has...
Daniel Glenn Carlen barred from securities industry
FINRA recently announced that Daniel Glenn Carlen, formerly a registered representative for Slavic Investment Corporation in Boca Raton,...
Gilman Ciocia and Prime Capital Services censured by the SEC
The Securities and Exchange Commission (SEC) recently announced that it has censured Gilman Ciocia and its Prime Capital Services unit for...
Ancora Securities, Inc. fined by FINRA for trading practices.
FINRA recently announced that Ancora Securities, Inc., a registered broker-dealer based in Cleveland, Ohio, has been censured, fined...