According to former Meyers Associates L.P. broker, John Buonocore's Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, he failed to cooperate with an investigation regarding certain trading anomalies…
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According to H.D. Vest Investment Securities' Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, the firm consented to a $100,000 fine for failing to implement certain surveillance procedures and…
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According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, Infinity Financial Services broker Thomas Virgil has been suspended for six months and fined $7,500. Based…
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In a Securities and Exchange Commission default judgment, Dawn J. Bennett was barred from the financial services industry and fined $4 Million. Bennett, claiming that the SEC administrative…
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