Colorado Securities Laws The Colorado securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Colorado securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Arkansas Securities Laws The Arkansas securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Arkansas securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Arizona Securities Laws The Arizona securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Arizona securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Alaska Securities Laws The Alaska securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Alaska securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Alabama Securities Laws The Alabama securities laws serve two primary functions; to regulate the raising of capital in the state, and to provide protections for investors. The Alabama securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Lance Shaw barred by FINRA. Lance Shaw, a registered representative from Haverford, PA formerly with LPL Financial of Wynnewood, PA was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
FINRA suspends Warren Rockmacher. Warren Rockmacher, a registered representative from Trumbull, CT formerly with Investacorp was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information or testimony…
John Pemberton suspended. John Pemberton, a registered representative from Overland Park, Kansas, formerly with Ameriprise Financial also of Overland Park was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
FINRA suspends Pedro Astacio. Pedro Astacio, a registered representative from Orlando, FL formerly with Wells Fargo Advisors of Apopka, FL was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…
Finra suspends Kola Lulgjuraj. Kola Lulgjuraj, a registered representative from Fishers, Indiana, formerly with J.P. Morgan Securities of Noblesville, IN was suspended from FINRA membership for violations of Rule 9552 FINRA Rule 9552. Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails…