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Arhonda T’Lene Guinn barred from securities industry by FINRA
According to a recent FINRA Disciplinary Actions announcement, Arhonda T’Lene Guinn (CRD #4401132, Vero Beach, Florida) submitted an AWC...
Kwen Young Chun barred from securities industry by FINRA
According to a recent FINRA Disciplinary Actions announcement, Kwen Young Chun (CRD #3136403, Midland Park, New Jersey) submitted an AWC in...
Jose Martin Canales barred from securities industry
According to a recent FINRA Disciplinary Actions announcement, Jose Martin Canales (CRD #1945614, El Paso, Texas) submitted an AWC in which...
UBS Puerto Rico $5.2 Million Settlement with Regulators
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations...
Jeb Bashaw Terminated from LPL Financial
According to InvestmentNews, the branch manager of LPL Financial in Houston, James “Jeb” Bashaw was recently terminated in...
Update on Blake Richards
According to financial-planning.com, Blake Richards, the former LPL adviser who was ordered to return nearly $2 million to investors and...
