In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Malcolm Babin of Gonzales, Louisiana, and formerly associated with PFS Investments in Baton Rouge submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or…
In September, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Jeffrey Auerbach of New York, NY, and formerly associated with Vfinance Investments submitted a letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member inany capacity for 90 days.…
Tiffany Peacock Asakawa, a registered representative formerly with Merrill Lynch in Kailua Kona, HI was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a…
Aviv Hen, a registered representative formerly with Obsidian Financial Group in Woodbury, NY was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
Stephen DeGroat, a registered representative formerly with Matrix Capital in New York, NY was suspended from FINRA membership for violations of Rule 9554 FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution provides that a registered…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Cory Don Williams of Monckton, MD, and formerly associated with Signator Investors submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member. Without admitting or denying the findings, Williams consented…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Jack Scherbert of Sparks, NV and formerly associated with Wells Fargo Advisors submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member firm in any capacity. Without admitting or denying…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Mark Quimby of Palm Harbor, FL, submitted a letter of Acceptance, Waiver and Consent in which he was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in any capacity for three months. Without…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Francesco Puccio of Webster, New York, submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Francesco Puccio consented to the…
In October, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Glenn Moffitt of Henderson NV, and formerly with LPL Financial, First Allied Securities and Cambridge Investment Research, all of Las Vegas, NV, submitted a letter of Acceptance, Waiver and Consent in which he was barred from association with any…