Author: D. Daxton White
FINRA Fines Three Firms Over $1.25 million
The Financial Industry Regulatory Authority (FINRA) has recently fined three broker-dealers- J.P. Turner & Co. of Atlanta, Georgia,...
Reynold Frank Vaughan III suspended from FINRA for securities violations.
Reynold Frank Vaughan III suspended from FINRA for four months for securities violations. Without admitting or denying the findings,...
Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, fined and suspended by FINRA for securities violations.
According to a recent FINRA announcement, Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, was really fined $5,000...
Jorge Gerardo Pereira suspended from FINRA
Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in Miami, Florida, suspended from FINRA and fined $5,000. Without...
Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton, Pennsylvania, barred from FINRA for various securities violations.
Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton, Pennsylvania, barred from FINRA. Without admitting or denying the...
Matthew D. Weitzman, formerly of AFW Wealth Advisors, investigated by SEC.
On August 19, 2009, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section...
