George Zedan barred by FINRA In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that George Zedan of Whittier, CA a registered representative formerly with Western International Securities of Glendale, CA and LPL Financial submitted an acceptance, waiver and consent letter whereby he was barred from association with any…
J.R. Gladden suspended by FINRA. In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that J.R. Gladden of La Mesa, CA a registered representative formerly with Securities Equity Group of El Cajon, CA submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA…
In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Thomas Gackle of Plymouth, Michigan a registered representative formerly with Lowell and Company of Novi, Michigan submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA in any capacity. The FINRA complaint alleged…
In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Peter Alcure of Locust Valley, NY a registered representative with Petersen Investments of Locust Valley, NY submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA for thirty days and fined $30,000. The…
In September, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Robert W. Baird of Milwaukee, Wisconsin submitted an acceptance, waiver and consent letter regarding its failure to supervise a registered representative and correct a trading error that lead to a $34,000 loss in a customer’s account. FINRA’s allegations against…
Wyoming Securities Laws Information Center The Wyoming securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Wyoming securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be…
Wisconsin Securities Laws Information Center The Wisconsin securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Wisconsin securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be…
West Virginia Securities Laws Information Center The West Virginia securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The West Virginia securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment…
Washington Securities Laws Information Center The Washington securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Washington securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be…
Virginia Securities Laws Information Center The Virginia securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Virginia securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be…