Month: August 2009
New Rule on Broker Promissory Note Arbitration
Effective September 14, 2009, FINRA will begin expediting the administration of cases that solely involve a brokerage firm’s claim than...
FINRA Fines Three Firms Over $1.25 million
The Financial Industry Regulatory Authority (FINRA) has recently fined three broker-dealers- J.P. Turner & Co. of Atlanta, Georgia,...
Reynold Frank Vaughan III suspended from FINRA for securities violations.
Reynold Frank Vaughan III suspended from FINRA for four months for securities violations. Without admitting or denying the findings,...
Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, fined and suspended by FINRA for securities violations.
According to a recent FINRA announcement, Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, was really fined $5,000...
Jorge Gerardo Pereira suspended from FINRA
Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in Miami, Florida, suspended from FINRA and fined $5,000. Without...
Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton, Pennsylvania, barred from FINRA for various securities violations.
Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton, Pennsylvania, barred from FINRA. Without admitting or denying the...
