Month: October 2014
Tony Chia Huang barred from securities industry by FINRA
According to a recent FINRA Disciplinary Actions announcement, Tony Chia Huang (CRD #3125448, Eastvale, California) submitted an AWC in...
Arhonda T’Lene Guinn barred from securities industry by FINRA
According to a recent FINRA Disciplinary Actions announcement, Arhonda T’Lene Guinn (CRD #4401132, Vero Beach, Florida) submitted an AWC...
Kwen Young Chun barred from securities industry by FINRA
According to a recent FINRA Disciplinary Actions announcement, Kwen Young Chun (CRD #3136403, Midland Park, New Jersey) submitted an AWC in...
Jose Martin Canales barred from securities industry
According to a recent FINRA Disciplinary Actions announcement, Jose Martin Canales (CRD #1945614, El Paso, Texas) submitted an AWC in which...
UBS Puerto Rico $5.2 Million Settlement with Regulators
According to InvestmentNews, UBS Financial Services Inc. of Puerto Rico has agreed to pay $1.7 million to investors to settle allegations...
Jeb Bashaw Terminated from LPL Financial
According to InvestmentNews, the branch manager of LPL Financial in Houston, James “Jeb” Bashaw was recently terminated in...
