Tag: FINRA
Terrence Thomas Alexander barred from FINRA
According to FINRA, Terrence Thomas Alexander was recently barred from FINRA and from associating with any FINRA member firm. The sanction...
UBS Securities LLC, based in Stanford, Connecticut, fined by FINRA.
UBS Securities LLC was recently fined $320,000 by FINRA and required to revise its written supervisory procedures regarding OATS...
Ryan Muneo Kimura barred from FINRA
According to a recent FINRA announcement, Ryan Muneo Kimura, formerly of Sun Life Financial Distributors, Inc. in Honolulu , Hawaii , has...
Stephanie Murch Haggerty fined and suspended from FINRA
According to a recent FINRA announcement, Stephanie Murch Haggerty, formerly of Register Financial Associates, Inc. in Atlanta, Georgia,...
Eric Evan Everson fined and suspended from FINRA
Eric Evan Everson Sanctioned for securities violations including recommending an unsuitable investment. According to a recent FINRA...
