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 …
FINRA Disciplinary Actions February 2021
LISA MARIE STEVENSON (CRD #6191058, NEW ALBANY, OHIO) February 2, 2021 – An AWC was issued in which Stevenson was barred from association with any …