Month: May 2010
Henry Thomas Goode fined and suspended by FINRA
FINRA recently announced that Henry Thomas Goode, a former registered representative with Wachovia Securities in Indialantic, Florida, has...
Dedric Hillery Gill III barred from securities industry
FINRA recently announced that Dedric Hillery Gill III, a former registered representative with QA3 Financial Corp. in Omaha, Nebraska, has...
Daniel Glenn Carlen barred from securities industry
FINRA recently announced that Daniel Glenn Carlen, formerly a registered representative for Slavic Investment Corporation in Boca Raton,...
Gilman Ciocia and Prime Capital Services censured by the SEC
The Securities and Exchange Commission (SEC) recently announced that it has censured Gilman Ciocia and its Prime Capital Services unit for...
