November 3 , 2015 Daniel Kasbar 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 documents and information…
read moreJuly 10, 2015- Bradenton, Florida Jose Luis Palacio , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to timely…
read moreJuly 10, 2015- Jose Palacio entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…
read moreJune 8, 2015 Susan Cornwall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she accepted $38,000 from a…
read moreMarch 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc. failed to supervise Michigan broker Lewis J.…
read more- 1
- 2