Rhonda Breard, a Kirkland, Wash., investment adviser who has been accused of stealing an estimated $8 million from at least 38 clients, has been permanently barred from the securities industry by Finra. Ms. Breard neither admitted nor denied the charges, Finra said, but “consented to the entry of Finra’s findings.” The former adviser who had [...]
FINRA recently announced that Richard Albert Seefried, a financial advisor in Spokane, Washington currently registered with GVC Capital, LLC, has been suspended from association with any FINRA member in any capacity for three months. The suspension is effective from April 19, 2010 through July 18, 2010. Without admitting or denying the allegations, Seefried consented to [...]
FINRA recently announced that National Securities Corporation has been fined $105,000 and required to pay $15,697.91, plus interest, in restitution to investors. Without admitting or denying the findings, National Securities Corporation consented to the findings that it sold or bought corporate bonds to or from customers and failed to sell or buy the bonds at [...]