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• Henry Thomas Goode, a former registered representative with Wachovia Securities in Melbourne, Florida, fined and suspended by FINRA.

  May 24, 2010 Comments (0) Blog, Securities Fraud

  FINRA recently announced that Henry Thomas Goode, a former registered representative with Wachovia Securities in Indialantic, Florida, has been fined $5,000 and suspended from association with any FINRA member in any capacity for 60 days. Without admitting or denying the findings, Goode consented to the described

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• FINRA fines and suspends David Alan Tucker, a financial advisor for Brookstone Securities, Inc. in Port Orange, Florida, for securities violations.

  January 19, 2010 Comments (0) Blog, Securities Fraud

  FINRA recently announced that David Alan Tucker, a financial advisor for Brookstone Securities, Inc. in Port Orange, Florida, has been fined $5,000 and suspended from association with any FINRA member in any capacity for 20 days. The suspension was in effect from December 21, 2009 through January 9, 2010. Without

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