On November 10, 2015 the Securities and Exchange announced that it charged Texas-based insurance agent Bobby M. Collins with operating a fraud out of his insurance and retirement planning business, Collins Insurance Companies a/k/a BMC Retirement Planning According to the SEC’s complaint, filed in the Northern District of Texas, Collins…
Homer Vining, a registered representative formerly with JP Turner of Atlanta, GA 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 provides that a registered representative…
Robert Tricarico, a registered representative formerly with LPL financial in westport, CT 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 provides that a registered representative…
Daniel Micha, a registered representative formerly with RBC Capital in Milwaukee, WI 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 provides that a registered representative…
James Avola, a registered representative formerly with Celadon Financial in Chatham, NJ 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 provides that a registered representative…
Horace Stubblefield, a registered representative formerly with Ameriprise in Lufkin, TX 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 provides that a registered representative or…
Noah Myers, a registered representative formerly with Purshe Kaplan in Centerbrook, CT 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 provides that a registered representative…
Brendon Lyden, a registered representative formerly with UBS Financial Services of Melville, NY 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 provides that a registered…
Michael Kinney of Ham Lake, Minnesota, a registered representative formerly with WFG Investments in Plymouth, MN 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 provides…
Greg Hilliard, a registered representative formerly with Toussaint Capital Partners in Freehold, NJ 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 provides that a registered…