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Category: FINRA News

Raymond Alagao Velasco, Sr. | FINRA Disciplinary Action

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

Jason V. McHenry | FINRA Disciplinary Action

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

Candice E. Montie | FINRA Disciplinary Action

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

Ignacio Erhart Del Campo | FINRA Disciplinary Action

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

Jiacheng Zhou | FINRA Disciplinary Action

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

Gordon Bryan | FINRA Disciplinary Action

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

Merrill Lynch, Pierce, Fenner & Smith Incorporated | FINRA Disciplinary Action

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

Colin Woolford | FINRA Disciplinary Action

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

American Independent Securities Group, LLC, Ryan Carlson, Nicholas Cioffi | FINRA Disciplinary Action

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