FINRA recently announced that Henry Thomas Goode, a former registered representative with Wachovia Securities in Indialantic, Florida, has been fined $5,000 and suspended from association with any FINRA member in any capacity for 60 days. Without admitting or denying the findings, Goode consented to the described sanctions and to the entry of findings that he [...]
FINRA recently announced that Dennis Ray Thompson Sr. has been barred from association with any FINRA member in any capacity. Additionally, Dennis Ray Thompson Jr. has been suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the findings, the Thompsons consented to the described sanctions and to [...]
FINRA recently announced that David Alan Tucker, a financial advisor for Brookstone Securities, Inc. in Port Orange, Florida, has been fined $5,000 and suspended from association with any FINRA member in any capacity for 20 days. The suspension was in effect from December 21, 2009 through January 9, 2010. Without admitting or denying the findings, [...]