Month: August 2009
Matthew D. Weitzman, formerly of AFW Wealth Advisors, investigated by SEC.
On August 19, 2009, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section...
Michael A. Atkins barred from securities industry.
On August 19, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of...
Marc Steven Broder barred from FINRA
According to FINRA, Marc Steven Broder was recently barred from FINRA and from associating with any FINRA member firm. The sanction was...
Edward Dee Basham barred from FINRA.
According to FINRA, Edward Dee Basham was recently barred from FINRA and from associating with any FINRA member firm. The sanction was...
Terrence Thomas Alexander barred from FINRA
According to FINRA, Terrence Thomas Alexander was recently barred from FINRA and from associating with any FINRA member firm. The sanction...
UBS Securities LLC, based in Stanford, Connecticut, fined by FINRA.
UBS Securities LLC was recently fined $320,000 by FINRA and required to revise its written supervisory procedures regarding OATS...
