FINRA Disciplinary Actions April 2022
GINA REA KIDD (CRD #6658538, NEW YORK, NEW YORK) April 1, 2022 – An Order Accepting Offer of Settlement was issued in which Kidd was …
FINRA Discipline
FINRA Disciplinary Actions March 2022
IAN MICHAEL PIERCE (CRD #6205487, WEST HARTFORD, CONNECTICUT) February 23, 2022 – An AWC was issued in which Pierce was barred from association with any …
FINRA Disciplinary Actions February 2022
JOSHUA DAVID NICHOLAS (CRD #6529944, STUART, FLORIDA) January 24, 2022 – An AWC was issued in which Nicholas was barred from association with any FINRA …
FINRA Disciplinary Actions January 2022
JASON PATRICK HAMBY (CRD #3089278, BLACKSBURG, VIRGINIA) December 22, 2021 – An AWC was issued in which Hamby was barred from association with any FINRA …
Girard Bengali, APC, Investigating Christopher Booth Kennedy and Western International Securities, Inc.
October 14, 2021 – Girard Bengali, APC is currently investigating former Western International Securities advisor Christopher Booth Kennedy for potentially engaging in unauthorized trading in …
October 2021 FINRA Disciplinary Actions
COURTNEY MICHELLE KAPLAN (CRD #5249375, PALM HARBOR, FLORIDA) September 30, 2021 – An AWC was issued in which Kaplan was barred from association with any …
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 …
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 …