FINRA Disciplinary Actions September 2021
SCOTT GEOFFREY MADISON (CRD #4323032, RIVERHEAD, NEW YORK) August 30, 2021 – An AWC was issued in which Madison was barred from association with any …
FINRA Disciplinary Actions August 2021
GLORIA JEAN WILLIS (CRD #4862077, CHICAGO, ILLINOIS) July 30, 2021 – An AWC was issued in which Willis was barred from association with any FINRA …
FINRA Disciplinary Action July 2021
MATTHEW R. LOGAN (CRD #5366984, MONTEPELIER, VERMONT) June 30, 2021 – An OHO decision became final in which Logan was barred from association with any …
A Timeline of Robinhood’s Legal and Regulatory Stumbles
Updated June 30, 2021. Robinhood, the stock trading startup valued at $11.7 billion, has seen as much volatility as the equities market it allows its …
A Timeline of Robinhood’s Legal and Regulatory Stumbles Read More »
FINRA Disciplinary Actions June 2021
WILLIAM EDWARDS ELLIS (CRD #6770635, WESTLAKE, TEXAS) May 25, 2021 – An AWC was issued in which Ellis was barred from association with any FINRA …
A TOAST TO OUR FIRST FIVE YEARS
May 3, 2021 – Los Angeles, California This month, Girard Bengali, APC proudly celebrates its 5th Anniversary. From our Los Angeles headquarters established in 2016, we …
FINRA Disciplinary Actions May 2021
CANDIDO JOSE VIYELLA (CRD #1829255 , MIAMI, FLORIDA) May 10, 2021 – An AWC was issued in which Viyella was barred from association with any …
FINRA Disciplinary Actions April 2021
CHARLES THOMAS STEVENS (CRD #1698058, ST. AUGUSTINE, FLORIDA) March 26, 2021 – An OHO decision became final in which Stevens was barred from association with …
Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062922001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Raymond Alagao Velasco, …
Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action Read More »
Jason V. McHenry | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068649401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jason V. McHenry …