Herbert G. Frey | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063960201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Herbert G. Frey …
J.W. Cole Financial, Inc. | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061764801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: J.W. Cole Financial, …
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Securities America, Inc. | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061765001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Securities America, Inc., …
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Cambridge Investment Research, Inc. | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056443801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cambridge Investment Research, …
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Keith Holcomb | FINRA Disciplinary Action
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061870301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Keith Holcomb (Respondent) …
A Timeline of Robinhood’s Legal and Regulatory Stumbles
Robinhood, the stock trading startup valued at $11.7 billion, has seen as much volatility as the equities market it allows its users to trade in …
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FINRA Disciplinary Actions February 2021
LISA MARIE STEVENSON (CRD #6191058, NEW ALBANY, OHIO) February 2, 2021 – An AWC was issued in which Stevenson was barred from association with any …
Robinhood Claims Now Under Investigation By Girard Bengali, APC
Girard Bengali, APC, a leading Los Angeles securities litigation law firm, has announced that it is investigating claims on behalf of Robinhood users that were …
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FINRA Disciplinary Actions January 2021
DUSTIN PAUL SCHAFER (CRD #4198962, NEW YORK, NEW YORK) January 7, 2021 – An AWC was issued in which Schafer was barred from association with …
FINRA Disciplinary Actions December 2020
DAVID ALAN STATEMAN (CRD #5530638, MIAMI, FLORIDA) December 1, 2020 – An AWC was issued in which Stateman was barred from association with any FINRA …