This is the twenty-first in a series of posts to discuss the rules associated with the FINRA disciplinary process.
Thank you for your professional assistance with this matter. You are very good at what you do.
This is the twenty-first in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the twentieth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the eighteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the seventeenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the sixteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the twelfth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the eleventh in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the eighth in a series of posts to discuss the rules associated with the FINRA disciplinary process.
This is the sixth of a series of posts to discuss the rules associated with the FINRA disciplinary process.
The Financial Industry Regulatory Authority (FINRA) has levied a $15,000 fine and a 21-month suspension against a former advisor, Jeffrey W. Davidson, based in Austin, Texas. Davidson engaged in fundraising activities that raised over $10 million for a fitness company owned by him and his wife.
A 46-year industry veteran from Braintree, Massachusetts, Timothy W. Leveroni, has settled a disciplinary matter by the Financial Industry Regulatory Authority (FINRA) for falsifying signatures, per a settlement agreement known as an Acceptance Waiver and Consent (“AWC”).
The Securities and Exchange Commission (SEC) has filed fraud charges against Jesus Rodriguez, accusing him of misappropriating nearly $3.5 million from at least 10 brokerage account holders and advisory clients.