In August 2018, former HD Vest Investment Services brokers Jerry Davis Raines and Donna Lynn Barnard consented to a sanction from the Financial Industry Regulatory Authority (FINRA) in which they...
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According to the Financial Industry Regulatory Authority (FINRA), Andrew Raymond Scheirer, II, a financial advisor at Kovack Securities (and previously at First Allied Securities) in Lake Mary, Florida has been...
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The Financial Industry Regulatory Authority, or FINRA, regulates the securities industry by focusing on investor protection and ensuring market integrity. In October 2018, FINRA barred former Centaurus Financial, Inc. advisor...
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Daniel Irving (Daniel B. Irving) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on…
Mitchell Yanow (Mitchell Toby Yanow) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on…
Paul Soll (Paul Edward Soll) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on…
