UPDATE FEBRUARY 2016- FBI RAIDS UDF OFFICES IN GRAPEVINE, TEXAS—See this for details. December 16, 2015-Grapevine, Texas United Development Funding IV (UDF) , a real estate investment trust (REIT) based…
read moreOctober 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…
read moreOctober 14, 2015-Coral Gables, FL Andrew M. Abern , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…
read moreJANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…
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 moreOctober 13, 2015 Jose Luis Rodriguez , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully violated FINRA by-laws…
read moreOctober 15, 2015 – Fredericksburg, VA Jonathan D. Freeze , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…
read moreOctober 12, 2015 – Granger, Indiana Albert Lee Rosebush , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that Rosebush violated FINRA rules…
read moreSeptember 22, 2015- Metairie, LA Ralph Savoie , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…
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