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.
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.
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.
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.
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.
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 suspends Warren Rockmacher.
Warren Rockmacher, a registered representative from Trumbull, CT formerly with Investacorp was suspended from FINRA membership for violations of Rule 9552
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 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 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
Securities Fraud Lawyer Blog