FINRA SEC Sanctions
Robert Lee Golding Barred by FINRA
FINRA Bars Robert Lee Golding after Allegations of Forgery According to public records, on November 27, 2023, FINRA, the self-regulator...
Aegis Advisor Keith Curtis Barred by FINRA
FINRA Bars Keith Curtis after Allegations of Conversion of Funds According to public records, on November 16, 2023, FINRA, the...
Broker Robert Silvestri Barred by FINRA
FINRA Bars Robert Silvestri after Allegations of Loan from Customer According to public records, FINRA, the self-regulator that oversees...
Hector Hernandez Barred by FINRA
FINRA Bars Hector Hernandez after Allegations of Outside Business Activities According to public records, FINRA, the self-regulator that...
Laidlaw & Co Sanctioned for Churning Violations
Laidlaw Reps and Firm agree to pay $1 Million for Allegedly Churning Client Accounts According to the SEC on November 20, 2023, the...
Robert Marquez, Investment Network, Barred by FINRA
FINRA Bars Advisor Robert Marquez, Investment Network According to public records, FINRA has reportedly barred financial advisor Robert...
