Month: October 2009
Gary Robert Stremel barred from FINRA
FINRA recently announced that Gary Robert Stremel, formerly of Citigroup Global Markets, Inc. in Houston, Texas, has been barred from...
Oren Sullivan & William Spencer, Barred for Ponzi Schemes
Oren Sullivan, NYLife Securities – William Spencer, Wiley Bros. The Financial Industry Regulatory Authority (FINRA) recently...
Maria Duarte Pumariega barred from FINRA
FINRA recently announced that Maria Duarte Pumariega, a financial advisor formerly registered with Wachovia Securities in Miami, Florida,...
Vero Beach, Florida Securities Fraud Attorney
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance...
FINRA Fines Fifth Third Securities $1.75 Million
The Financial Industry Regulatory Authority (FINRA) announced in April that it has fined Fifth Third Securities, Inc., (FTS) of Cincinnati,...
Dana Reece Anderson barred from the securities industry
FINRA recently announced that Dana Reece Anderson, formerly of Intersecurities, Inc. in Waterloo, Iowa, has been censured and barred from...
