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Tag: Washington

Blog, Securities Fraud

Iowa Broker Dealers Named In Suit Involving Provident Royalties

According to the Business Record, DeWaay Financial Network LLC of Clive and three other Iowa investment brokers are among 49 firms that...

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Blog, Securities Fraud

Rhonda Breard Barred From Securities Industry

Rhonda Breard, a Kirkland, Wash., investment adviser who has been accused of stealing an estimated $8 million from at least 38 clients, has...

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Blog, Securities Fraud

Richard Albert Seefried, a financial advisor in Spokane, Washington, suspended by FINRA.

FINRA recently announced that Richard Albert Seefried, a financial advisor in Spokane, Washington currently registered with GVC Capital,...

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Blog, Securities Fraud

Frederick J. Barton allegedly defrauded a client

The SEC recently announced that an Administrative Law Judge issued an Initial Decision in Frederick J. Barton (Barton), Admin. Proc....

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Blog, Securities Fraud

National Securities Corporation, in Seattle, Washington, fined by FINRA for securities violations related to its sale of corporate bonds.

FINRA recently announced that National Securities Corporation has been fined $105,000 and required to pay $15,697.91, plus interest, in...

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