Demetrios Hallas, a registered representative formerly with Aegis Capital, Santander Securities and Forefront Capital 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 requested…
Kora Crowder, a registered representative formerly with Merrill Lynch in Jacksonville, Florida 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 requested or required…
On May 24, 2016 the Securities and Exchange Commission filed a complaint in Dallas, TX Federal Court charging investment advisor Ash Narayan formerly with RGT Capital Management, with secretly transferring over thirty three million dollars from his clients’ accounts to a company called The Ticket Reserve, which then funneled almost…
Travis Shannon, of Santa Barbara, a registered representative formerly with Morgan Stanley was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution The rule provides that a…
Tom Ottman, of Blaine, MN, a registered representative formerly with Feltl & Company and Advanced Advisor Group was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution…
Karen Kane (aka Karen Knote), a registered representative from Carmel, IN formerly with Money Concepts Capital was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution The…
Rodney Cochran, of Grand Prarie, TX, a registered representative formerly with Mutual of Omaha Investor Services was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution The…
Robert Chan, of Yorba Linda, CA, a registered representative formerly with U.S. Bancorp and Western International Securities was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution…
Randy Bostick, of Jupiter, FL, a registered representative formerly with Janney Montgomery Scott was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution The rule provides that…
Dmitry Borochin, of Brooklyn, NY, a registered representative formerly with Wells Fargo Advisors was suspended from FINRA membership for violations of Rule 9554. FINRA Rule 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution The rule provides that…