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 Discipline
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 …
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, …
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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 …
Candice E. Montie | FINRA Disciplinary Action
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 …
Ignacio Erhart Del Campo | FINRA Disciplinary Action
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 …
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Jiacheng Zhou | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067118901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jiacheng Zhou, Respondent …
Gordon Bryan | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060741801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gordon Bryan General …
Merrill Lynch, Pierce, Fenner & Smith Incorporated | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2013038684001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Merrill Lynch, Pierce, …
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Colin Woolford | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064465201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Colin Woolford (Respondent) …