Tag: private securities transactions

January 22, 2024

Lucas Hales, Virtua, Suspended by FINRA

Securities Regulator Suspends Lucas Hales for Private Securities Transactions The Financial Industry Regulatory Authority (FINRA) has...

Masood Azad (Mike Azad) Broker Investigation, featured by Top Securities Fraud Attorneys, The White Law Group

Blog, Current Investigations, Securities Fraud Articles

February 19, 2020

Masood Azad (Mike Azad) Broker Investigation

Financial Advisor Masood Azad (Mike Azad), First Allied Securities, League City, TX FINRA Reportedly Bars Mike Azad after Allegations of...

Blog, Securities Fraud Articles

August 3, 2011

Portfolio Advisors Alliance, Inc. fined by FINRA

Portfolio Advisors Alliance, Inc. (CRD #101680, New York, New York) and Marcelle Long (CRD #2679335, Registered Principal, Atlanta,...

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