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 [...]
The Securities and Exchange Commission (SEC) recently announced that it has censured Gilman Ciocia and its Prime Capital Services unit for misrepresenting the variable annuities sold to senior citizens in South Florida. In an order, the SEC found that from approximately November 1999 through February 2007, Prime Capital Services, a broker-dealer that Gilman Ciocia acquired [...]
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, [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton. The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA [...]