Month: March 2016
Investigation into BDCs
In a time of record low interest rates, investors have sought for yield in alternative products like BDCs or nontraded business development...
Michael Bruce Winegar barred from securities industry.
According to FINRA’s March 2016 Disciplinary Report, Michael Bruce Winegar (CRD #1232800, Salem, Oregon) recently submitted an AWC in...
Kevin Donald Wanner barred from securities industry.
FINRA bars Kevin D. Wanner after Termination According to the Financial Industry Regulatory Authority’s March 2016 Disciplinary...
Richard A. McGuire barred from securities industry.
According to FINRA’s March 2016 Disciplinary Report, Richard A. McGuire (CRD #4637028, Bay Shore, New York) was recently barred from...
Joseph Gregory Mahalick barred from securities industry.
According to FINRA’s March 2016 Disciplinary Report, Joseph Gregory Mahalick (CRD #5563167, Chicago, Illinois) recently submitted an...
