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August 26, 2009

FINRA Fines Three Firms Over $1.25 million for failing to...

The Financial Industry Regulatory Authority (FINRA) has recently fined three

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August 26, 2009

Reynold Frank Vaughan III suspended from FINRA for securities violations.

Reynold Frank Vaughan III suspended from FINRA for four months for securities

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August 25, 2009

Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk,...

According to a recent FINRA announcement, Charles Edward Roden, of Oppenheimer &

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August 24, 2009

Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in...

Jorge Gerardo Pereira, formerly of Synergy Investment Group, LLC in Miami, Florida,

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August 24, 2009

Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton,...

Jamie Patrick Lake, formerly of Questar Capital Corporation in Scranton,

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August 23, 2009

Matthew D. Weitzman, formerly of AFW Wealth Advisors, investigated by...

On August 19, 2009, the Securities and Exchange Commission issued an Order

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August 23, 2009

Michael A. Atkins of Land Oak Securities barred from securities...

On August 19, the Securities and Exchange Commission issued an Order Instituting

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August 23, 2009

Marc Steven Broder, formerly of Kovack Securities, Inc. in Coral...

According to FINRA, Marc Steven Broder was recently barred from FINRA and from

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August 23, 2009

Edward Dee Basham, formerly of WAMU Investments, Inc. in Houston,...

According to FINRA, Edward Dee Basham was recently barred from FINRA and from

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August 22, 2009

Terrence Thomas Alexander, formerly of Chicago Investment Group and CCO...

According to FINRA, Terrence Thomas Alexander was recently barred from FINRA and

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