October 14, 2021 – Girard Bengali, APC is currently investigating former Western International Securities advisor Christopher Booth Kennedy for potentially engaging in unauthorized trading in …
COURTNEY MICHELLE KAPLAN (CRD #5249375, PALM HARBOR, FLORIDA) September 30, 2021 – An AWC was issued in which Kaplan was barred from association with any …
SCOTT GEOFFREY MADISON (CRD #4323032, RIVERHEAD, NEW YORK) August 30, 2021 – An AWC was issued in which Madison was barred from association with any …
GLORIA JEAN WILLIS (CRD #4862077, CHICAGO, ILLINOIS) July 30, 2021 – An AWC was issued in which Willis was barred from association with any FINRA …
MATTHEW R. LOGAN (CRD #5366984, MONTEPELIER, VERMONT) June 30, 2021 – An OHO decision became final in which Logan was barred from association with any …
WILLIAM EDWARDS ELLIS (CRD #6770635, WESTLAKE, TEXAS) May 25, 2021 – An AWC was issued in which Ellis was barred from association with any FINRA …
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 »
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 …
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064819501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Candice E. Montie …
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064055402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ignacio Erhart Del …
Ignacio Erhart Del Campo | FINRA Disciplinary Action Read More »