June, 2014
Archive

June 19, 2014

Former FINRA Broker in Hot Water

Did you invest with former Purshe Kaplan Sterling Investments broker, Scott Valente?

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June 18, 2014

William Lewis Tatro IV barred from securities industry.

According to a FINRA Disciplinary Action disclosure, William Lewis Tatro IV (CRD

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June 18, 2014

Michael Thomas Lombardo barred from securities industry.

According to a FINRA Disciplinary Action disclosure, Michael Thomas Lombardo (CRD

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June 18, 2014

James O’Neal Lampier barred from securities industry.

According to a FINRA Disciplinary Action disclosure, Jason O’Neal Lampier (CRD

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June 18, 2014

Eduardo Guillermo Diaz barred from securities industry.

According to a FINRA Disciplinary Action disclosure, Eduardo Guillermo Diaz (CRD

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June 18, 2014

Christopher Somes Babcock barred from securities industry.

According to a FINRA Disciplinary Action disclosure, Christopher Somes Babcock (CRD

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