Tag: Florida
FINRA fines and suspends David Alan Tucker
FINRA recently announced that David Alan Tucker, a financial advisor for Brookstone Securities, Inc. in Port Orange, Florida, has been...
Meeting Street Brokerage of Palm City, Florida expelled
FINRA expelled Meeting Street Brokerage, LLC of Palm City, FL The Financial Industry Regulatory Authority (FINRA) recently announced that...
Deerfield Beach Securities Fraud Attorney
The White Law Group, LLC is a securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois...
Broad Street Securities, Inc. fined and censured by FINRA
FINRA recently announced that Broad Street Securities, Inc. (a FINRA registered broker-dealer based in Plantation, Florida) has been...
Maria Duarte Pumariega barred from FINRA
FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida,...
Important securities and FINRA (NASD) Links
FINRA BrokerCheck/CRD (FINRA’s brokercheck allows anyone to check the registration and regulatory history of a financial advisor, as well...
