According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, James E. Mahan was permanently barred from the securities industry for not cooperating with a FINRA investigation.…
Read More
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…
Read More
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…
Read More
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…
Read More
A Finra arbitration panel ordered Frederick Baerenz, CEO of AOG Wealth Management, to pay damages of $331,000 for unsuitable trading. According to an Investment News article, Baerenz placed…
Read More
While a broker for Janney Montgomery Scott LLC and Investors Capital Corp., Patricia Miller orchestrated a Ponzi scheme placing client funds in various "investment clubs." Per the Criminal…
Read More