Tag: CRD
Investigation: Washington Mutual Bonds and Securities America
The White Law Group is investigating the sales practices of Securities America with respect to Washington Mutual Bonds. The firm is...
Christopher William Shanahan barred from securities industry
FINRA recently announced that Christopher William Shanahan, a former financial advisor in Westlake, Ohio, has been barred from association...
Richard Albert Seefried suspended by FINRA
FINRA recently announced that Richard Albert Seefried, a financial advisor in Spokane, Washington currently registered with GVC Capital,...
FINRA Proposes Expansion of Public Broker Information
The Financial Industry Regulatory Authority (FINRA) recently announced that it is seeking authority to significantly expand the amount of...
