UPDATE October 2016-FINRA records report that Mark S. Immel terminated his registration with G.A. Repple & Co. 5/2016 and as of October 25, 2016, he is not currently registered with…
read moreMarch 10, 2016- Cincinnati, Ohio Kenton K. Gearhart entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Merrill…
read moreFebruary 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…
read moreMarch 8, 2016- Greenville, South Carolina The United States Attorney’s Office for District of South Carolina announced that Claus C. Foerster, 55, of Spartanburg, South Carolina was indicted by a…
read moreMarch 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…
read moreOctober 8, 2015 Paul Anthony Steffany , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he he violated NASD and…
read moreSan Antonio, Texas August 6, 2015 KENS 5 Eyewitness News of San Antonio reports that Jeremy James McGilvrey claimed in an interview last month that he has paid restitution to…
read moreJuly 13, 2015-Scottsdale, AZ John Anthony Waszolek entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…
read moreJuly 6, 2015 Raymond James & Associates entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2009…
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