According to the Order Accepting Offer of Settlement, FINRA agreed to settle the claims against David Lockey with a 6-month suspension from the securities industry, a fine of…
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The Texas State Securities Board has reported that former VSR Financial Services Broker Mickey Long, of Plano, Texas, agreed to 45-day suspension. Per order REG16-SUS-03, Mickey Long (identified…
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According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Russell Sadler assented to a fine of $25,000 and a 12-month suspension from the securities industry…
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Former Wilbanks Securities broker, Michael Inderlied Permanently Barred from the Securities Industry
According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Michael Inderlied was permanently barred from the securities industry for declining to provide on-the-record testimony to…
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According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Jerry McCutchen consented to a permanent ban from the financial securities industry and declined to provided…
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According to FINRA Arbitration Award 14-00829, while a broker with Morgan Stanley, Kim Isaacson lied to a client regarding the value of the client's investment portfolio. In the…
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