According to FINRA’s Letter of Acceptance, Waiver, and Consent (“AWC”), No. 2014040242501, Canaccord Genuity, Inc. consented to a public censure and FINRA fine of $200,000 relating to FINRA’s claims…
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Gary Lee Rathburn and Douglas Scott Miller, former representatives of Triad Advisors, Inc., consented to FINRA’s sanction that they be barred from the securities industry. According to Rathburn’s…
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According to FINRA’s Letter of Acceptance, Waiver, and Consent (“AWC”), No. 2014040870001, MetLife Securities, L.LC. consented to a public censure and to pay a $20 million fine plus an…
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According to FINRA’s Letter of Acceptance, Waiver, and Consent (“AWC”), No. 2013037346101, Cetera Financial Specialists, L.L.C. consented to a public censure and FINRA fine of $40,000 relating to FINRA’s claims…
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Mark Peter Koestner, a former representative of Wells Fargo Advisors, consented to FINRA’s sanction that he be barred from the securities industry. According to Koestner’s Letter of Acceptance,…
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Gerard A. Fagnant, a former representative of LPL Financial and Ameriprise Financial, consented to FINRA’s sanction that he be barred from the securities industry. According to Fagnant’s Letter…
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