July 30, 2015 Malcolm Jamal Babin of Baton Rouge, LA , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…
read moreJuly 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…
read moreJune 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and provided false testimony to FINRA staff in…
read moreMarch 11, 2015, Seabrook, Texas Royce O. Simpson, entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide written…
read moreRichfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7…
read moreIn March 2015, Daniel Gregory Retzke entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that during the course of an investigation…
read moreUPDATE- April 2016: Bagwell Settles Millions in Customer Claims/ Named in Alabama Securities Commission investigation. See this for more. February 26, 2015 – Birmingham, Alabama Terry Joe Bagwell entered into a Letter of…
read moreFebruary 13, 2015-Racine, Wisconsin Michael F. Cuccia entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents, made loans…
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