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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 …

finra disciplinary actions securities fraud lawyer

FINRA Disciplinary Actions March 2021

BYRON PAT TREAT (CRD #1466393, AMARILLO, TEXAS) February26, 2021 – …

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

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

Herbert G. Frey | FINRA Disciplinary Action

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

J.W. Cole Financial, Inc. | FINRA Disciplinary Action

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

Securities America, Inc. | FINRA Disciplinary Action

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

Cambridge Investment Research, Inc. | FINRA Disciplinary Action

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

Keith Holcomb | FINRA Disciplinary Action

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