Per a default decision in Disciplinary Proceeding #2012033286901, Stuart Dickinson was barred from any association with a FINRA member in any capacity for selling securities without reasonable grounds…
Read More
Tom Parks was an Ameriprise Financial Services broker from 1993 till he was terminated in April of 2016. He was terminated following multiple customer complaints for unsuitability in…
Read More
Per his FINRA BrokerCheck report, Commonwealth Financial Network Broker and Austin Financial Management principle James A. King III was the subject of two customer complaints in 2016. The…
Read More
According to its Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Investors Capital Corporation assented to censorship, a $250,000 fine, and ordered to pay restitution in excess…
Read More
According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Jay Gruenebaum accepted a permanent bar from the securities industry. As noted in AWC 2016049236901, Gruenebaum was…
Read More
According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Robert Lappin agreed to a 3-month suspension from the securities industry, a fine of $5,000, and…
Read More
