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Category: FINRA Discipline

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FINRA Disciplinary Actions February 2022

JOSHUA DAVID NICHOLAS (CRD #6529944, STUART, FLORIDA) January 24, 2022 …

finra disciplinary actions securities fraud lawyer

FINRA Disciplinary Actions January 2022

JASON PATRICK HAMBY (CRD #3089278, BLACKSBURG, VIRGINIA) December 22, 2021 …

Girard Bengali, APC, Investigating Christopher Booth Kennedy and Western International Securities, Inc.

October 14, 2021 – Girard Bengali, APC is currently investigating …

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October 2021 FINRA Disciplinary Actions

COURTNEY MICHELLE KAPLAN (CRD #5249375, PALM HARBOR, FLORIDA) September 30, …

finra disciplinary actions securities fraud lawyer

FINRA Disciplinary Actions September 2021

SCOTT GEOFFREY MADISON (CRD #4323032, RIVERHEAD, NEW YORK) August 30, …

finra disciplinary actions securities fraud lawyer

FINRA Disciplinary Actions August 2021

GLORIA JEAN WILLIS (CRD #4862077, CHICAGO, ILLINOIS) July 30, 2021 …

finra disciplinary actions securities fraud lawyer

FINRA Disciplinary Action July 2021

MATTHEW R. LOGAN (CRD #5366984, MONTEPELIER, VERMONT) June 30, 2021 …

finra disciplinary actions securities fraud lawyer

FINRA Disciplinary Actions June 2021

WILLIAM EDWARDS ELLIS (CRD #6770635, WESTLAKE, TEXAS) May 25, 2021 …

Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT …